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RISK MANAGEMENTGUIDE A guide to risk management in legal practice for Community Legal Centres and other Legal Assistance Services that are members of Community Legal Centre Associations
Includes the Mandatory Standards of NACLC’s National Professional Indemnity Insurance Scheme, which are also Standards for Certification and Accreditation under the National Accreditation Scheme for Community Legal Centres
SECOND EDITION
Publication detailsThe Risk Management Guide: A guide to risk management in legal practice for Community Legal Centres and other Legal Assistance Services that are members of Communi-ty Legal Centre Associations (the Guide) is published by the National Association of Community Legal Centres (NACLC) for the use of community legal centres (CLCs) and other legal assistance services in Australia that are full members of a state or territory association of CLCs and thus come under the NACLC umbrella (collectively, ‘centres’).
National Association of Community Legal CentresACN 163 101 737 PO Box A2245 Sydney South, NSW 1235 Phone: (02) 9264 9595 Fax: (02) 9264 9594 Email: [email protected]
Publication background The first edition of this more detailed and substantive Guide, titled Risk Management and CLC Practice: A guide for community legal centres in delivering legal and related services, was published in 2011, replacing the earlier Na-tional Risk Management Guide published in July 2005 by NACLC. The 2005 Guide included The Professional Indem-nity Insurance Risk Management Guide (July 2005), based on the NSW Combined Community Legal Centre Group PII Compliance Manual (2002) and a section setting out background information about PII and the Scheme structure in part based on and adapted from chapters 1 and 2 of the Practice Guide for NSW Community Legal Centres (2002). The copyright in these earlier publications is acknowledged. The 2011 edition of the Guide significantly rewrote and added to the 2005 publication. For the first time it iden-tified Mandatory Standards, distinguishing them from recommended good practice actions that it also included. It was developed with the assistance of many people in the sector, in particular Bill Mitchell from Townsville Com-munity Legal Service Inc; Julia Hall and Jill Anderson from NACLC; Justin Finighan, NACLC IT and CLSIS consultant; and members of the National Professional Indemnity Insurance (PII) Network. Its editing was by Jill Anderson, NACLC, and Ian Close, Outside Communications; graphic design was by Justin Archer Design. A few sections of the Guide were revised in December 2012, with only those updated pages being reprinted. The revision undertaken for this second edition of the Guide was undertaken by Kiri Libbesson, Insurances Coordinator at NACLC, and members of the National PII Network, particularly Catherine Eagle, longstanding member and the Network Chair, with significant input from Amanda Alford and Julia Hall at NACLC, as well as others across the sector. Significant changes have been made to this version and any superseded versions of the Guide should not be relied on or used as a reference source.
First edition published: November 2011 (Effective from 14 November 2011; Revised (in part) December 2012)Second edition published: February 2017Design: Jelly Tree StudioPrinting: ASAP PressPrinted on recycled paper
DisclaimerThe Guide is a tool and resource for use by those centres that provide legal and other professional and related services. It should not be assumed that it covers every aspect of risk management that may be relevant to any particular centre’s legal practice or other services delivered by that centre. Each centre delivers its ser-vices differently and within a different context and must devise and apply risk management strategies appropriate to its own particular situation.The Guide also does not cover every aspect of organisational risk management. There are signif-icant aspects of centre governance, organisational management and operations that are not addressed in this publication and which should be the subject of separate specific risk management policies, proce-dures and practices. This Guide should be only one of a suite of complementary risk management policies and practices for centres. The principal lawyers and others responsible for cen-tre legal work and service delivery, including the em-ployer centres themselves, must satisfy themselves that their legal practices and related services are complying with all relevant legal and professional obligations. The Guide at times refers to relevant law, but it is not and does not purport to be a complete compilation of the law applicable to lawyers’ legal and ethical obligations, the management of legal practices or other professional services, in any or all jurisdictions, and should not be relied upon as such.As a national resource, it is not possible to refer to every state and territory distinction, and users are responsible for ascertaining and complying with the particular requirements of their own jurisdiction.
The Guide is one of a range of management and gov-ernance resources developed and produced by NACLC to support CLCs and other legal assistance providers. It also includes the Mandatory Standards of NACLC’s National Professional Indemnity Insurance (PII) Scheme. Only legal assistance services that are full members of a state or territory association of CLCs are eligible to participate in this Scheme and participation is contingent on the service demonstrating annually satisfactory compliance with the Mandatory Standards. Regardless of their partic-ipation in the National PII Scheme, all full members are required under the National Accreditation Scheme for CLCs, to satisfactorily comply with the NACLC Accredita-tion Criteria, which include the Mandatory Standards set out in this Guide.
This Guide is not for distribution outside the CLC sector. It is provided free by NACLC to centres that are members of state or territory associations of CLCs and to a very limited number of sector stakeholders at NACLC’s discretion and on a confidential and restricted basis.
Acknowledgement of CountryNACLC acknowledges the traditional custodians of the lands across Australia and particularly the Gadigal people of the Eora Nation, traditional custodians of the land on which the NACLC office is situated. We pay deep respect to Elders past and present.
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CONTENTSImportantinformationaboutchangesinservicesterminology viii
Glossaryofterms x
Chapter1:IntroductiontotheGuide 1
1.1 purposesoftheGuide 2
1.2 GettingthemostfromtheGuide 2
1.3 Centresneedotherriskmanagementpoliciestoo 2
1.4 Nationalcomplianceregime 3
1.4.4 Membershiprulesandaccreditation 3
1.5 Consequencesofnon-compliance 4
1.6 Informationaboutinsurance 4
1.7 Nationalstandardsand‘national’legislation? 5
Chapter2:MandatoryStandards 6
2.1 thischapter 7
2.2 theGuide 7
2.3 Supervisionofcentrepracticebytheresponsibleperson 7
2.4 DelegationofresponsibilitytoaNominatedperson/s 7
2.5 Generalresponsibilitiesofcentres 8
2.6 Insurance,notificationsandclaims 8
2.7 Legalprofessionregulation 9
2.8 trustmoney,controlledmoneyandtransitmoney 9
2.9 ImmigrationassistanceandregisteredMigrationagents 9
2.10 Financialcounsellors 9
2.11 Socialworkersandotherprofessionals 10
2.12 Dutyofconfidentiality 10
2.13 Conflictsofinterest 10
2.14 practicesupervision:general 11
2.15 Specialist,auspicedorhostedservices,programsandprojects 13andauspicedcentres
2.16 Guidelinesaboutcentrework 14
2.17 Intake-recordsandprocedures 14
2.18 Instructions 14
2.19 LegaladviceandotherDiscreteassistanceServices 14
2.20 Files(paperandelectronicrecords) 16
2.21 Cross-checking 17
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Chapter3:riskManagementforCommunityLegalCentres 18
3.1 WhatisCLCpractice? 19
3.2 Whatisriskmanagement? 19
3.3 Whymanagerisk? 19
3.4 theNationalpIISchemeanditsriskmanagementstrategies 20
3.5 StakeholdersandroleswithintheNationalpIIScheme 20
3.5.2 NACLC 20
3.5.6 TheNationalPIINetwork 21
3.5.9 StateandterritoryCLCassociations 22
3.5.11 PIIrepresentative 22
3.5.12 StateandterritoryPIIcommittees 23
3.5.16 Additionalrolesatstateorterritorylevel 24
3.5.21 ResponsiblePerson 25
3.5.29 NominatedPerson 29
3.5.34 Cross-checker 30
3.5.35 Thecentre 30
3.5.38 Relationshipbetweencentremanagementandlawyers 31
3.5.41 Clientsandpotentialclients 32
3.5.42 Fundingbodies 32
3.6 Decision-makinganddisputeresolution 32
3.6.1 Decision-makingprinciples 32
3.6.7 Disputeresolution 34
3.7 Mergersandamalgamations 38
3.7.3 Insurance 38
3.7.10 Changingthelegalentityandnotifyingthestatelegal 39 professionregulator
3.7.11 Databasemergersandconflictsofinterest 39
3.8 Centreclosures 40
3.8.2 Dealingwithopenandclosedfiles 41
3.8.8 PIIrun-offcover 41
3.8.11 Noticetolegalprofessionregulatorybodies 42
3.8.13 Otherissues 42
Chapter4:professionalIndemnityInsuranceandtheNationalpIIpolicy 43
4.1 Introduction 44
4.2 riskmanagementandtheNationalpIIScheme 44
4.2.3 TheNationalPIIPolicy 44
4.2.6 Theapplicationprocess 45
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4.3 The insurer 45
4.3.1 Pacific Indemnity on behalf of CGU 45
4.3.2 The broker 45
4.4 Things to know about the Policy 45
4.4.7 Claims-made policy 46
4.4.9 Policy administration 47
4.4.10 Premium calculation 47
4.4.13 Excess 47
4.5 Top-up insurance 48
4.6 Some terms of the current Policy 49
4.6.4 Who is covered? 49
4.6.12 What is covered? 51
4.6.17 Amount of cover 53
4.6.19 Period of cover 53
4.6.21 Annual PII Proposal (renewal) 53
4.6.24 What isn’t covered? 53
4.7 Notifications and claims 55
4.7.1 Duty to notify 55
4.7.18 Duty not to admit liability 60
4.7.21 Working with the insurer 60
4.7.22 Reserve 60
4.7.23 Subrogation 61
4.7.27 Claim Investigation costs 61
4.7.31 Finalisation of claims 62
4.8 Complaints about insurance 62
4.9 Relationship with legal profession regulatory bodies 62
4.10 Double insurance 63
ChaPTeR 5: Legal Profession Regulation 64
5.1 Introduction 65
5.2 Mandatory risk management 65
5.3 Relationship to insurance 65
5.4 State and territory regulatory schemes 65
5.5 Mandatory Standards 65
5.5.1 Practising certificates 65
5.5.4 Supervision 66
5.5.7 Costs agreements and recovery of costs 67
5.5.11 Trust money and controlled money 67
5.5.12 Transit money 68
5.5.15 Registered Migration Agents 68
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Chapter6:professionalObligationsIncludingConfidentiality 69andavoidingConflictsofInterest
6.1 Introduction 70
6.2 Lawyers 70
6.3 Financialcounsellors 70
6.4 Socialworkers 70
6.5 Codesofconduct 71
6.6 Confidentiality 72
6.6.4 Contractualduty 72
6.6.5 Ethicalduty 72
6.6.7 Statutoryduty 73
6.6.8 Confidentialityandcloudcomputing 73
6.7 Conflictsofinterest 74
6.7.2 Whatisaconflictofinterest? 74
6.7.4 Lawyer-clientduties 75
6.7.6 Avoidingconflicts:centrepolicyandtraining 75
6.7.8 Acentrecannotactforbothpartiestoadispute 75
6.7.9 Canacentreeveractagainstaformerclient? 76
6.7.12 Whatisconfidentialinformationinthiscontext? 76
6.7.13 Whenindoubt–formerclients 76
6.7.14 Servicetypesandconflictchecks 76
6.7.28 Knowledgeofonelawyeristhesameasknowledge 79 oftheentirepractice
6.7.29 Volunteerlawyers,confidentialinformationandimputedknowledge 80
6.7.38 ManagementCommitteemembers 81
6.7.39 Changingjobs,locumsandconflictsofinterest 81
6.7.43 Secondmentsandconflictofinterest 82
6.7.46 Screeningforconflictsofinterest 83
6.7.74 Conflictofinterestinmulti-programagencies 87
6.7.80 Conflictofinterestinreferringmatterstovolunteerlawyers 90
6.7.83 Conflictofinterest–stafflawyerswhorunprivatepractices 90
6.7.88 Advisingcentrestaffandvolunteers;oradvisingothercentres 91
6.7.89 Confidentiality,conflictofinterestandactingforgroups 92 andassociations
6.7.91 Furtherinformationandgettingadvice 92
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Chapter7:practiceSupervisionandManagement 93
7.1 Introduction 94
7.2 Supervision 94
7.2.7 CheckingDiscreteAssistance(otherthanInformationandReferral) 95 andOngoingAssistanceServices
7.2.11 AccesstotheResponsiblePerson 96
7.2.12 SupervisionofOngoingServices 96
7.2.14 Remotesupervision 97
7.2.18 Supervisingbranchoffices 97
7.3 Workloads 98
7.4 Filereviews 98
7.5 electroniccommunications 99
7.6 CommunityLegaleducation,Communityeducationandpublications 100
7.7 LawandLegalServicereformorpolicyreform 100
7.8 Media 101
7.9 ServicesfortheCommunity(CLe,Ce,LawandLegalServicesreform, 101Stakeholderengagement)andMedia:filesandrecords
7.10 Specialist,auspicedorhostedservices,programsandprojects 102
7.11 Volunteers 103
7.12 Studentsandclinicalprograms 103
7.13 DutyLawyer/advocateservices 104
7.14 ContractworkforLegalaidCommissions 104
Chapter8:ServicesforIndividuals 105
8.1 Writtenguidelines 107
8.2 Conflictofinterestcheck 107
8.3 Intakerecordsandprocedures 108
8.3.2 Client’sname,dateofbirthandcontactdetails 108
8.3.5 NamesofOtherParties 108
8.3.7 Indicationthataconflictofinterestcheckhasbeenperformed 108
8.3.9 Dateinstructionsreceived 108
8.3.10 TypeofService 109
8.3.11 Clientidentifier,filenumberandfileregister 109
8.4 Instructions 109
8.5 LegaladviceandotherDiscreteassistanceServices 110
8.5.1 ProfessionalbasisforAdvicemustbedisclosed 110
8.5.3 RecordofAdvicegiventoclients 110
8.5.4 Limitationandothercriticaldate/s 110
8.5.7 DateandsignatureofpersongivingAdvice 111
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8.5.8 LegalAdviceandotherassistancegivenbyemailorotherformsof 111 electroniccommunication
8.5.11 Advicetothirdparties 112
8.5.16 RetentionanddestructionofAdvicerecords 112
8.5.19 DutyLawyerServices 113
8.6 OngoingassistanceServices 113
8.7 Centre’sdatabaseanditsroleincentreriskmanagement 113
8.7.2 Dataentryforconflictchecking–accuracyandcompleteness 113
8.7.5 OtherPartiesandrelatedclients 113
8.7.6 Duplicateclients 114
8.7.7 Timelinessofdataentry 114
8.7.9 Trainingforconflictchecking 114
8.7.11 Datadefinitionsandtraining 114
8.7.13 Scopeofdatarecordingincentres’databases 115
8.7.15 Datasecurityandunauthorisedaccess 115
8.8 Files 115
8.8.2 Filenumberandfilerecord 115
8.8.3 Letterofengagementorclient/litigationagreement 115
8.8.5 LimitationDate 116
8.8.6 Frontoffileinformation 116
8.8.9 Filenotes 117
8.8.10 Incomingoroutgoingcalls 117
8.8.11 Correspondence,courtdocuments,evidenceanddisbursements 117
8.9 Clientinformationsecurity 118
8.10 Filemovements 118
8.11 Clientrecords 119
8.12 Fileownership 119
8.13 Closingfiles 120
8.13.1 Preparationforclosure 120
8.13.2 Closure 120
8.14 archivinganddestruction 120
8.14.2 Archivingfilesphysically 121
8.14.3 Archivingfileselectronically 121
8.14.6 CLSISandCLASSrecords 122
8.14.7 Destroyingfiles 122
8.15 Clientlegalprivilege 123
8.16 thirdpartyaccesstoclientinformation 123
8.16.3 Thirdpartyornon-partydisclosure 123
8.16.7 Subpoenas 124
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8.17 Coercive powers 124
8.18 Freedom of information 125
8.19 Privacy laws 125
8.20 Library and archive laws 125
ChaPter 9: Cross-checking procedures 126
9.1 Introduction 127
9.2 Participation in annual cross-check and satisfactory compliance with 127 Mandatory Standards of the Guide
9.2.4 Branch offices, cross-border services, and services with more than 128 one Responsible Person
9.3 Confidentiality 129
ChaPter 10: Other insurance 130
10.1 Introduction 131
10.2 Public liability insurance 131
10.3 association liability and directors’ and officers’ insurance 131
10.4 Workers compensation insurance 131
10.5 Volunteers personal accident insurance 131
10.6 Contents insurance or office pack insurance 131
aPPendICeS
A NationalProfessionalIndemnityInsurancePolicyWording
B NationalProfessionalIndemnityInsurancePolicySchedule
C ProfessionalIndemnityInsuranceNotificationForm
D Cross-CheckQuestionnaire
E PIIRepresentatives:Framework,RoleandResponsibilities
Sample documents:
F EmailPolicy:sample
G ConflictofInterestinServiceDeliveryPolicy:sample
H PrivacyPolicy:sample
I FileDestructionChecklist(Qld):sample
J LettersofEngagement/ClientAgreements(NSW&Vic):samples
K InformationBarrierPolicy:samples
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ImportantInformationaboutChangesinServicesterminology
BackgroundFundingandprogrammanagementforCLCshasundergonesignificantchangeinrecentyears,inparticularasaresultofthecommencementoftheNationalPartnershipAgreementonLegalAssistanceServices2015-2020;thepublicationoftheNationalLegalAssistanceDataStandardsManual;andthedevelopmentoftheCommunityLegalAssistanceServicesSystem(CLASS).
ThiseditionoftheGuidehasbeenwrittentakingintoaccountthesedevelopments.
theNationalLegalassistanceDataStandardsManualIn2015,theCommonwealthAttorney-General’sDepartmentpublishedaNationalLegalAssistanceDataStandardsManual(DSM),whichcanbefoundathttps://www.ag.gov.au/LegalSystem/Legalaidprogrammes/Pages/National-Legal-Assistance-Data-Standards.aspx.
TheDSMhastheaimofintroducingcommonclientandservicedatarecordingacrossallfourlegalassistanceservices.Itwasdevelopedinconsultationoversomeyears,withrepresentativesofeachoftherespectivelegalassistanceservices.
TheDSMcontains,amongotherthings,anewsystemofclassificationof‘Services’andnewdefinitionsofeachServicetype.UndertheNPA,stateandterritorygovernmentsmustreporttotheCommonwealthonbenchmarksandperformanceindicatorsthatrefertoServicesasdefinedbytheDSM.
CLaSSFormanyyears,thegreatmajorityofCLCs(thosefundedundertheformerjointCommonwealthandstateandterritoryfundingprogram,theCommunityLegalServicesProgram),recordedtheirclientandservicedatainadatabaseownedbytheCommonwealthAttorney-General’sDepartment,calledCommunityLegalServicesInformationSystem(CLSIS).StateandCommonwealthProgramManagerswereabletoaccessandobtainreportsonde-identifiedservicedataandaccountabilityinformationfortheirjurisdiction’sCLCs.Afewyearsago,theFamilyViolencePreventionLegalServices(FVPLS)werealsorequiredtorecordandprovidereportsinCLSIS.
CLSISisanolddatasystemandtheCommonwealthAttorney-General’sDepartmentdecidedtofundNACLCtodevelopanewdatasystemfortheCLCsandFVPLS,whichwillsupersedeCLSIS.
Atthetimeofwriting,NACLCexpectsthatCLCs’andFVPLS’datawillbemigratedintoCLASSinFebruary2017.
Importantly,CLASSisbasedontheDSM,andusesitstermsanddefinitionsforrecordingclientandservicedata.Thiswillsupportandfacilitatecentrereportingtogovernment,andstateorterritorygovernmentsaccessingreportsforprovisiontotheCommonwealthinaccordancewiththeirobligationsundertheNPA.
effectofthenewServicesDefinitionsontheGuideHistorically,CLCshavetendedtothinkandrefertotheirworkasone-offassistance(advice,informationandreferral),orongoingwork,commonlycalled‘casework’.CLSISusestheseterms.
InCLSIS,thesetermsarequitebroad,forexample,‘Advice’canbelegalorotheradvice,andmayalsoincludeprovidingsomerelatedsupport,suchasdraftingaletter,solongastheassistanceisadiscreteservice.TheCLSISterm‘Casework’includesrepresentation,actingasadutylawyeratcourt,andprovidingongoingassistance(includingwhennotactingforthatperson)and/oractingonbehalfofaclientinrespectofaproblem,butbecauseitisnotonlyconcernedwithprovidingongoingassistanceinarepresentationalcapacityitcancoverbothlegalandnon-legalcasework.
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TheDSMhasmorecategoriesofservicesandnewdefinitions.Centresmustunderstandandusethisnewterminologytoensurethattheyrecordtheirservicesaccuratelyandconsequentiallytheirreportstofundersareaccurate.Thefollowingdiagramfrompage3oftheDSMprovidesanoverviewofthecategoriesofservicesusedwithintheDSM.
TosupportcentreunderstandingofthenewterminologyandthemovetothenewDSMdefinitions,thisGuidereferseithertotheindividualServicenamesintheDSM,orwhenmakingthedistinctionbetweenone-offand/orongoingassistance,usestheterms‘DiscreteAssistance’and‘OngoingAssistance’.Itisimportanttonotethatboththosetermscontainseveraldifferenttypesofservicesunderthenewclassificationsystem.
TheGlossaryincludedinthisGuideidentifiestheservicesdefinedintheDSMandthedefinitionforeachService.ItisimportanttoconsulttheDSMitselfasitcontainscriticalinformationonthewaytorecordand‘count’eachservice,andsomefactsituationsasexamplesofdifferenttypesofservices.Inaddition,centresshouldbealerttoupdatestotheDSMasitcouldbefurtherclarifiedinthefuture.
Services for the community
Information
Referral
Legal Advice
Non-Legal Advice
Legal Task
Facilitated Resolution Process
Duty Lawyer
Dispute Resolution
Court/Tribunal
Other Representation
Resources
Activities
Community Education
Law and Legal Services Reform
Stakeholder Engagement
LeGaLaSSIStaNCeSerVICeS
Services for individuals* Discreet Assistance
Facilitated Resolution Process
Duty Lawyer
Representation
Community Legal Education
Community Education
Law and Legal Service Reform
Stakeholder Engagement
Figure 1: Legal assistance services
*Thisincludesservicesforindividuals,groupsandorganisations.
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GLOSSarYOFterMSadvice AsdefinedintheCLSISDataDictionary,andusedinthis
Guide,is: whenaserviceproviderhelpsaclienttoselect
betweenoptionsabouttheclient’sownproblems.Adviceincludesbutisnotlimitedtolegaladvice.Itmaybecounselling,advocacy,supportand/orlegaladvice.
TheDSMonlyincludesoneAdviceservicetype,‘Legaladvice’.
Centreshavehistoricallyrecognisedthatsomeprofessionalandotherexpertworkerswhoarenotlawyersmaygiveadvicewithintheirareaofexpertise.SuchadvicewouldnotfallwithintheLegalAdviceservicetypeasdefinedintheDSM,butmightotherwisebecategorisedasa‘Non-LegalSupportService’,asappropriate.
Branchoffice Alocationotherthanthemaincentreofficewherethecentreprovidesservicesandwhererecords(forexample,caseworkfilesandadvicerecords)arestoredonthepremises(asdistinctfromanoutreachservicewhere,typically,recordsarenotstoredbutkeptatthemainofficeofthecentre).Abranchofficewilltypicallyhavestafflocatedonthepremises(whoarecentreemployees).Itmayormaynotoperatefulltime.
Casework Caseworkisthetermthathaspreviouslybeenusedtorefertoanymatterforwhichthecentreisprovidingongoingassistanceand/oractsonbehalfofaclientinrespectofaproblem(asopposed,inthatmodeltoprovidingaone-offadvice,informationorreferral).Typically,afileisopened.InCLSIS,CaseworkwasclassifiedasMinor(0-5hours),Medium(6-20hours)orMajor(over20hours).Ongoingworkthatwouldformerlyhavebeencalled‘casework’isnowundertheDSMeitherRepresentationServicesorongoingNon-LegalSupportServices(Non-LegalSupportServicescanalsobeadiscreteservicesothereferencetoongoingisimportant).UndertheDSM,RepresentationServicesarewhereaServiceProvidertakescarriageofamatterinanongoing,representativecapacity.RefertotheDSMdefinitionsofRepresentationServices,DisputeResolutionService,Court/TribunalServiceandOtherRepresentationServices,whichareincludedinthisGlossary.
Centre LegalassistanceserviceprovidersthatarefullmembersofastateorterritoryCLCassociationandthereforecomeundertheNACLC‘umbrella’.ThesemaybeCLCs,AboriginalandTorresStraitIslanderLegalServices(ATSILS)orFamilyViolencePreventionLegalServices(FVPLS).
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CLaSS CommunityLegalAssistanceServicesSystem(replacementforCLSIS)
CLC CommunityLegalCentre
Client/litigationagreement WheneveraRepresentationServiceorotherongoingorletterofengagement legalserviceistobeprovidedbyacentreitis
recommendedthatthecentreprovidetheclientwithwritteninformationconfirmingthenatureandextentoftheworkthatthecentrehasagreedtodoonbehalfoftheclient.Thismaybedonebywayofaletterofengagementoraclient/litigationagreement.Insomecases,forexamplewhereworkisundertakenonadutylawyerbasis,ordonequicklytomeetadeadline,thismaynotbepractical.Inthosecasesitisdesirabletoprovidetheclientwithwrittenconfirmationoftheworkthatwasundertakenassoonasispossibleafterwards
CLSIS CommunityLegalServicesInformationSystem–theCommonwealth-owneddatabaseforCLCandFVPLSclientandservicedatathathasoperatedforseveralyears,butwillnolongerbeavailabletousersafter31March2017
CLSp TheCommunityLegalServicesProgram(CLSP)wasajointfundingprogramofboththeCommonwealthandStateandTerritoryGovernments.TheCommonwealthCLSPwasadedicatedprogramwithintheAustralianAttorney-General’sDepartmentthatfundedandcoordinatedCLSPfundingandprogrammanagementforCLCspriorto1July2015.ThemajorityofCommonwealthfundingtoCLCsisnowdeliveredthroughtheNpa(seebelow).ThecurrentCLSPretainsthesamenamebuthasbeenrevisedtobedeliveredasanationallyfocusseddiscretionarygrantsprogramme,administeredbytheAttorney-General’sDepartment.Inaddition,somestatesandterritoriesrefertotheirstateCLCfundingprogramsasCLSP
Communityeducation CommunityEducation(CE)(asdistinctfromCommunity(DSMpp14-15) LegalEducation,definedbelow)aimstoresolvenon-legal
associatedissues,socialwelfare,learningoutcomesandpersonaldevelopmentofpeopleinvolvedinthelegalprocessandexperiencingdisadvantage.Thefocusisonaddressingrelatednon-legalproblemsthatdirectlyimpactuponaperson’sabilitytoaccessorparticipateinthejusticesystem,topreventlegalmattersescalating.Theseprogrammesandsessionsareoftenfacilitatedbynon-lawyerssuchasclientsupportofficers.
CEpromoteslearningandsocialdevelopmentworkwithgroupsinthegeneralcommunityusingarangeofformalandinformalmethods.Acommoncrucialfeatureisthatprogrammesandactivitiesaredevelopedindiscussionwithcommunitiesandparticipants.Thepurposeofcommunityeducationanddevelopmentistohelpbuildthecapacityofpeopleandgroupsofallagesandthe
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communitythroughtheiractionsbyimprovingqualityoflifeandcontroloverpersonalcircumstances.Centraltothisisaperson’sabilitytoparticipateinthejusticeprocessesandbecomeawareoftheirindividualrightsandresponsibilities.
Therearearangeofskillsandapproachesforengaginglocalcommunities/groupsandinparticulardisadvantagedpeople.Theseincludelessformaleducationalmethods,communityactivitiesandgroupskills.Communitydevelopmentenablescommunitymemberstobebetterinformedandtohaveanactivevoiceinseekingsolutionsfortheissuesaffectingtheircircumstances/lives.
ExamplesofCEinclude:• managingfinances• self-esteemandhealthyrelationshipssessions• behaviouralprogrammes• empowerment/leadershipprogrammes• accesstoservices;housing,socialservices, supportprogrammes• parentingprogrammes• grouptherapy.
CommunityLegaleducation CommunityLegalEducation(CLE)isprovidedtothe(CLe) generalcommunity,communityservices,community(DSMp13) groups,organisationsorschools.Theseservicesinform
andbuildindividualandcommunityresiliencebyenhancing:
• awarenessandunderstandingaboutthelawandhow toidentify,preventanddealwithproblems• awarenessofthehelpavailablefromlegalandsupport services.
CommunityLegaleducation CLEActivitiesaredeliveredtoraiseawarenessandactivities educateotherserviceproviders,communitygroups,(DSMp14) organisations,schools,orthegeneralcommunityabout
thelawandhowtorecognise,preventanddealwithlegalproblems.CLEActivitiesmaybedeliveredthroughavarietyofformats,including:
• workshops,presentationsandmeetingsinperson • web-basedandelectronicmedia.
CommunityLegaleducation CLEResourcesinvolvethedevelopmentorsubstantialresources amendmentofpublicationsandresourcesthatprovide:(DSMp13) • informationaboutthelawandlegalsystem • informationaboutlegalandsupportservices • guidanceforidentifying,preventingordealingwith
particularlegalproblems.
ExamplesofCLEResourcesinclude:booklets;pamphlets;self-helpkits;legalinformationwebsites;developmentofCLEActivities(forexample,modules,workshopsorpresentations).
CLEResourcesmaybedevelopedtobedeliveredviaavarietyofmediaincluding:printed/hardcopy;
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audioproducts;DVD/video;webbased;workshopsorpresentations.
Court/tribunalService ACourt/TribunalServicerelatestoanyongoing(DSMp11) representationforanymatterbeforeacourt,tribunal
orinquiry,whereaServiceProviderprovideslegalrepresentationtoaServiceUser,andtakescarriageofamatterinanongoing,representativecapacity.Thisincludescourt/tribunalbasedalternativedisputeresolution.
ACourt/TribunalServicedoesnotincludeservicesprovidedbyadutylawyerorassistancetoself-representingpartieswhereaServiceProviderdoesnottakecarriageofamatterinanongoing,representativecapacity.ThistypeofserviceiscountedasaLegalTask,LegalAdviceorDutyLawyerService,asappropriate.
Cross-check Thisreferstothemandatorypeerreviewprocedurethatoccursannuallytomonitoreachcentre’scompliancewiththeMandatoryStandardsoftheGuideandtosupportcontinuousimprovementinriskmanagementincentres’practices.AllcentresthatarefullmembersofastateorterritoryCLCassociationarecross-checked.SeeinparticularCh9.
Discreteassistance DiscreteAssistanceistheprovisionofunbundled,(DSMp4) discrete,legalandnon-legalservicestoServiceUsers[i.e.
InformationServices,referral,LegaladviceServices,Non-LegalSupport,andLegaltask].
TheseintermittentservicesdifferfromRepresentationServices,whereaServiceProvidertakescarriageofamatterinanongoing,representativecapacity.
DiscreteAssistancemaybeprovidedatanylocation(forexample,inaServiceProvider’sofficeorinanoutreachlocation).
Theymayalsobedeliveredinarangeofmodes:inperson;telephone;letter;email,mailorfax;videoconference;onlinechat.
DisputeresolutionService Thisserviceinvolvesthelegalrepresentationofa(DSMp10) ServiceUserinaFacilitatedResolutionProcess,oran
alternativedisputeresolutionprocess.Thisservicetypedoesnotincludecourt/tribunalbasedalternativedisputeresolution,whichisincorporatedinthedefinitionofCourt/TribunalServices.
ADisputeResolutionServiceincludespreparationfor,andrepresentationat,aFacilitatedResolutionProcess.ItalsoincludestheworkinvolvedinrecordingagreementfollowingaFacilitatedResolutionProcess.
Assistanceprovidedtoself-representingpartiespreparingtoattendFacilitatedResolutionProcessesshouldbecategorisedasLegalTaskorDutyLawyerServiceasrelevant.
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DSM NationalLegalAssistanceDataStandardsManual,whichwaspublishedbytheCommonwealthAttorney-General’sDepartmenttointroducecommonclientandservicedatarecordingacrossallfourlegalassistanceservices.
DutyLawyerServices DutyLawyerServicesarelegalservicesprovidedbyaduty(DSMp9) lawyertoaServiceUseratacourtortribunal.
Facilitatedresolutionprocess AFacilitatedResolutionProcessiswhereaService(DSMp8) Providerconductsanactivity(forexampleaconference)
toassistthepartiestoresolveornarrowissuesindispute.Generally,afacilitatedresolutionprocesswillinvolveascreeningprocessandtheprovisionofanindependent,suitablyqualifiedprofessionaltofacilitateresolutionoftheissuesindispute.
AFacilitatedResolutionProcessmaybeprovided: • inpersonatanylocation • bytelephoneorvideoconference.
Financialcounsellor Financialcounsellorsarerequiredtocomplywithprofessionalassociationcodes,asystemofaccreditationbystateorterritoryassociations(inmostjurisdictions)andtomeettheexemption(fromlicensing)requirementsundertheASICClassOrderfortheFinancialServicesReformAct2001(Cth)andtheexemptionrequirementsundertheNationalConsumerCreditProtectionAct2009(Cth).
InformationServices AnInformationServiceistheprovisionofinformationtoa(DSMp4) ServiceUserinresponsetoanenquiryabout: • thelaw,legalsystemsandprocesses, • legalandothersupportservicestoassistinthe
resolutionoflegalandrelatedproblems.
Theinformationprovidedisofgeneralapplication.AnInformationServiceinvolvesadirectcommunicationand/oraprovisionofmaterialbyaServiceProvidertoaServiceUser.InformationServicesdonotincludeadministrativetaskssuchasbookingappointmentsforLegalAdvicesessions.
LawandLegalServicereform LawandLegalServiceReformincludeactivities(DSMpp15-16) undertakentochangethelawandlegalprocess,orto
improvetheprovisionoflegalassistanceservices.Theseactivitiesoftenseektoimproveequitableaccessto,andtheeffectivenessof,thejusticesystemforthebenefitofparticulardisadvantagedgroupswithinthecommunityandtheAustraliancommunityasawhole.
LawandLegalServiceReformactivitiesmayinclude: • participationinresearch,analysisandevaluation
activities(includingprogrammeevaluation) • developingpapersaboutlegalassistanceservicesand
systems • developingsubmissionstogovernment,parliamentary
bodyorotherinquirytoprovidefactualinformation
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and/oradvice • strategicadvocacy,suchaslawreformwork.
LawandLegalServiceReformactivitiesfocusuponresolvingsystemicissuesaffectingtheabilityofpeoplefacingeconomic,socialandotherdisadvantagetoaccessorreceivejustice.Whileinsomecases,thisinvolvesservicesdeliveredtoadisadvantagedclient,theseservicesfocusuponmaximisingbenefitsforthewidercommunityoravulnerablegroupwithinthecommunity.
Lawyer ForthepurposeofthisGuideandtheCross-checkQuestionnaire(seeappendixD),thetermslawyerorlegalpractitionerreferonlytoalegallyqualifiedpersonwhoholdsacurrentpractisingcertificate.
LegaladviceServices ALegalAdviceServiceistheprovisionoffact-specific(DSMp6) legaladvicetoaServiceUserinresponsetoarequestfor
assistancetoresolvespecificlegalproblems.
Legaltask ALegalTaskiswhereaServiceProvidercompletesa(DSMp7) discretepieceoflegalworktoassistaServiceUserto
resolveaproblemoraparticularstageofaproblem.
ExamplesofaLegalTaskinclude: • preparationorassistancewiththedraftingof
documents(suchasawill) • writingalettertoanotherpartyaskingthemtodo
somethingorstopdoingsomething,or • advocatingonbehalfofaServiceUserwithouttaking
ongoingcarriageofthematter.
IfaServiceProvidertakescarriageofamatterinanongoing,representativecapacity,includingrepresentingaServiceUserincourtortribunalproceedings,thisisnolongeraLegalTaskbutaRepresentationService.
ManagementCommittee ThisreferstotheManagementCommitteeorBoardofthecentre.TheManagementCommitteemustworkwiththeResponsiblePersontomakesurethatallstaffandvolunteersarefamiliarwithrelevantpartsofthisGuide.
NaCLC NationalAssociationofCommunityLegalCentres
NaS NationalAccreditationSchemeforCLCs
Nominatedperson ANominatedPersonisapersonwhohasbeendelegatedresponsibility(bytheResponsiblePerson)forperformingcertainrolesoftheResponsiblePersonwithregardtomanagingandsupervisingsomepart/softhelegalpractice.Forexample,aNominatedPersonmaybeappointedtosuperviseadvicegivenand/orworkundertakeninaparticularareaofthecentre’spractice.ANominatedPersonshouldbeacentreemployeewhoisalawyerwhohassuitableexperienceandexpertisetoperformtherolesdelegatedtothem.Howeverifthisisnotpossible(forexamplebecauseofacentre’s
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resourceconstraintsorexpertiseneeds),anon-lawyer,and/orvolunteerorotherpersonmaybeappointedasaNominatedPersonprovided:
(a)intheopinionoftheResponsiblePerson,thepersonhassuitableexpertiseandexperiencetoproperlycarryouttheresponsibilitiesdelegatedtothem,and
(b)theResponsiblePersonnotifiestheirPIIrepresentativeandstateorterritoryassociationinwritingoftheappointmentoftheperson,theresponsibilitiesdelegatedandtheexpertiseandexperienceofthepersonthatmakesthemsuitabletoperformthoseroles.Seeinparticular3.5.29-33.
Non-LegalSupportServices ANon-LegalSupportServiceisprovidedbyan(DSMp6) appropriatelyqualifiedorexperiencedperson(either
throughaninternalorexternalappointment)toaServiceUserinresponsetoarequestforassistancetoresolvespecific,non-legalproblems.Examplesincludegeneralcounselling,financialcounselling,trauma-informedcounselling,AboriginalandTorresStraitIslandercommunityliaison,andmentalhealthassessmentsandsupport.
Non-LegalSupportServicescaneitherbeadiscreteoranongoingservice.
Npa NationalPartnershipAgreementonLegalAssistanceServices2015-2020.Since1July2015,thegreatmajorityofCommonwealthfundingtoCLCshasbeendeliveredundertheNPA.
OngoingassistanceServices OngoingAssistanceisatermusedwithinthisGuidetorefertothoseServicesforIndividualswhereacentretakescarriageofamatterinacontinuingcapacity,forexample,RepresentationServices.
OtherrepresentationServices OtherRepresentationServicesrelatestoanymatterwhere(DSMp12) theServiceProvider: • takescarriageofamatterinanongoing,
representativecapacity,butduetothenatureofthe matteritdoesnotproceedtoacourt,tribunalor inquiry,or
• isnotrequiredtoappearbeforeacourt,tribunalor inquiry.
OtherRepresentationServicesdonotincludeassistancetoself-representingpartieswhereaServiceProviderdoesnottakecarriageofamatterinanongoing,representativecapacity.ThistypeofserviceiscountedasaLegaltask,LegaladviceorDutyLawyerService,asappropriate.
practisingcertificate Apractisingcertificateisevidenceprovidedbytherelevantlegalprofessionbodythatthelawyerisentitledtopractiseasalawyerforthespecifiedperiod,usuallyayear,withorwithoutspecifiedconditions.Lawyersshould
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befamiliarwiththelegalpracticelegislationandRulesoftherelevantstateorterritory,andensurethatalllegal,professionalregulatoryandethicalrequirementsaremet.SeealsoregisteredMigrationagent.
pII ProfessionalIndemnityInsurance
TheNationalPIIPolicyisthemasterinsurancepolicyarrangedandnegotiatedbyNACLCforthebenefitofparticipatingcentres.
TheNationalPIISchemeistheframeworkinwhichtheNationalPIIPolicyoperates,andwithwhichparticipatingcentresmustcomply.Thisframeworkincorporatesthecross-checkprocess,whichisalsoarequirementforaccreditationundertheNAS.SeeChapter4.
referral AReferraliswhenaServiceProviderdeterminesthat(DSMp5and35) aServiceUsercanbeassistedbyanotherindividualor
organisationandprovidestheUserwiththecontactdetailstothatservice.IntheDSMaReferralmayberecordedasaSimpleReferraloraFacilitatedReferral.
registeredMigrationagent OnlyRegisteredMigrationAgents,whethertheyarelawyersornot,canprovide‘immigrationassistance’asdefinedbytheMigrationAct1958(Cth).TheResponsiblePersonisresponsibleforensuringthattheformalrequirementsofrelevantlegislationsuchasthisaremet.
representationServices RepresentationServicesarewhereaServiceProvider(DSMp10) takescarriageofamatterinanongoing,representative
capacity.
[Thisincludes:DisputeresolutionService;Court/tribunalService;andOtherrepresentationServices.]
responsibleperson EachcentreappointsaResponsiblePersonwhomustensurethattheGuideisimplemented.TheResponsiblePersonshouldbeacentreemployeewhoisalawyerwithanunrestrictedpractisingcertificate.InthosejurisdictionsinwhichthelegalprofessionlawsrequiretheemploymentofaprincipalsolicitorthecentreshallappointthatpersonastheResponsiblePerson.WherethereisnosuchlegislativerequirementthemanagingorsenioremployedlawyershouldbeappointedastheResponsiblePerson.Ifthisisnotpossible,eithertemporarilyorinthelongerterm,acentrecannegotiatewiththeirstateorterritoryPIIrepresentativeandCLCassociationtoapproveanalternativearrangementthatisalsoacceptabletotherelevantregulatorybody.Seeinparticular3.5.21-28.
restrictedpractitioner Allstateandterritorylegalprofessionlawsprovidefor‘restrictedpractisingcertificates’wherethelawyerholdingthecertificatecanonlypractiseincertainwaysand/orissubjecttocertainconditions.
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rMG RiskManagementGuide
ServicesforIndividuals ThisisatermusedwithintheDSMtorefertoservicesprovidedtoindividuals,groupsandorganisations,asopposedtoServicesfortheCommunity,suchasCLE.
ServicesfortheCommunity ServicesfortheCommunityisatermusedwithintheDSMtorefertoservicessuchasCommunityLegaleducation,Communityeducation,LawandLegalServicereform,andStakeholderengagement.
Serviceprovider Thisisalegalassistanceserviceprovider[i.e.acentre],(DSMp2) oranindividualactingonbehalfofthelegalassistance
serviceprovider,thatdeliversaservicetoaServiceUser.
ServiceUser Thisisanindividual,groupororganisationthatreceivesa(DSMp2) servicefromaServiceProvider[i.e.aclient].
Specialist,auspicedorhosted Theterms‘auspicedservice/project’or‘hostedservice/service,programorproject project’refertoaprojectorprogram,whichhas,orto
someextentcanbeseenashaving,itsownseparateidentity.A‘specialistservice/project’ofaCLCisgenerallyanintegralpartofthecentre’scoreservicedelivery,suchastheWomen’sDomesticViolenceCourtAdvocacyServices(WDVCAS),TenancyAdviceandAdvocacyServices,WelfareRightsandFinancialCounsellingservices.Suchaservice/projectisusuallyfundedseparatelyandspecifically.Seeinparticular7.10.
Stakeholderengagement StakeholderEngagementactivitiesmayincludethe(DSMp16) followingactivities: • participatinginnational,state,territoryandlocal
forumstoimprovetheco-ordinationanddeliveryof legalassistanceservices
• participatinginnational,state,territoryandlocal bodiestorepresenttheinterestsofthelegal assistanceprovidersandServiceUsers
• makingandimplementingcollaborativearrangements withotherlegalandnon-legalserviceprovidersto integrateandimprovecoordinationacrossthe legalassistancesystem.
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CHAPTER 1
IntroductiontotheGuideInthischapter:1.1 purposesoftheGuide 2
1.2 GettingthemostfromtheGuide 2
1.3 CLCsneedotherriskmanagementpoliciestoo 2
1.4 Nationalcomplianceregime 3
1.4.1 Membershiprulesandaccreditation 3
1.5 Consequencesofnon-compliance 4
1.6 Informationaboutinsurance 4
1.7 Nationalstandardsand‘national’legislation? 5
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1.1 purposesoftheGuide ThisGuide:
setsouttheNACLCnationalpolicyframeworkforriskmanagementoflegalpracticeandrelatedservicesdeliveryinCLCs
providesinformationabouttheNACLCNationalProfessionalIndemnityInsurance(PII)PolicyandtheNACLCNationalPIISchemeanditsrequirements
setsminimumriskmanagementMandatoryStandardsforcentresthatarefullmembersofastateorterritoryCLCassociation(seebelow)
providesadditionalrecommendedriskmanagementguidelinesandproceduresthataregoodpracticeandcanbeadoptedbycentreswishingtoimprovetheirstandardsandqualityassurancebeyondtheleveloftherequiredminimumMandatoryStandards.
1.2 GettingthemostfromtheGuide1.2.1 ThesimplewaytogetthemostfromtheGuideistoreaditfromcovertocover
andbecomefamiliarwithitscontent.Asafirststepitisrecommendedthatallstaff,ManagementCommitteemembers,andvolunteersatleastreadChapter2concerningtheMandatoryStandardsintheGuide.ItisrecommendedthateachcentredevelopaninternaltrainingplanaroundtheGuide,oramendtheirexistingtrainingplan,forstaff,volunteersandManagementCommitteemembers.Youmaywanttohandoutcopiesofrelevantkeypartstoeachofthesedifferentgroupsatinductionandontrainingoccasions,whichataminimumwouldincludeChapter2(MandatoryStandards)andthecentre’sconflictofinterestpolicyandotherrelevantpolicies(forexample,theelectroniccommunicationspolicy).TheGuideisaninvaluableinductionandtrainingtool.
1.2.2 Somecentresmaywishtodevelopaformalimplementationplandirectedtoawarenessraising,training,developmentorrefinementofrelevantpoliciesandmonitoringofpolicyimplementation.
1.2.3 IfyouhavetroubleunderstandinganypartsoftheGuideorhowtoimplementthepoliciesorproceduresitcontains,contactyourstateorterritoryprofessionalindemnityinsurancerepresentative(PIIrepresentative).ThecurrentPIIrepresentativesandtheircontactdetailsarelistedontheNACLCwebsite(lookunder‘Insurances’).
1.2.4 IfyouhaveaCLCpracticeriskmanagementissue,theGuideisareadyreferencetopointyourcentreintherightdirection.ThemorefamiliaryouandothersworkinginyourcentrearewiththeGuide,themoreeffectiveitwillbeinsupportingyouinestablishingandmaintaininggoodpracticeriskminimisationforyourcentre.
1.3 Centresneedotherriskmanagementpoliciestoo1.3.1 Remember,theGuideisnotacompleteriskmanagementstrategyforacentre.
Itsfocusisonthetotalityofcentrepracticethatincludesmanagementofthelegalpracticeandrelatedservicedelivery.Itdoesnotonlyapplytolawyers.Forexample,therearetherequirementsthattheResponsiblePersonoraNominatedPersonmust:checktheadviceandcaseworkrecordsofallvolunteers,includingnon-lawyers;checkatleastasignificantproportionoftheadviceandcaseworkofemployednon-lawyerssuchasfinancialcounsellors,tenancyworkersandsocialworkers;andcheckthecontentofpublicstatementssuchascentremediareleases.InformationintheGuidethatmayalsoberelevanttonon-lawyersincludessectionsthatdealwithrelevantadministrationandmanagementissuesincludingsupervisionanddocumentmanagementandretention/destruction.
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1.3.2 AstheGuidedoesnotcoveralltheriskmanagementpoliciesorproceduresthatacentre’smanagementshouldormaywishtohaveinotherareas(forexample,intheareasofgovernanceandfinancialmanagement),itshouldbeoneofanumberofcomplementaryriskmanagementdocumentsandstrategiesdevelopedandimplementedbyeachcentre.
1.3.3 AspartoftheNationalAccreditationSchemeforCLCs(NAS),NACLCprovidesaccesstoanonlineplatformthatcentresusetoassessthemselvesagainsttherequirementsoftheNAS:theStandards and Performance Pathways(SPP).TheSPPisaccessiblebyregisteredcentresviatheNACLCwebsite.
1.3.4 Additionalriskmanagementresourcesandtemplatesareavailablefromthe‘ReadingRoom’intheSPP.CentrescanalsosubscribetoManagement Support Online (MSO)throughBNGNGOServicesOnline,whichprovidesadditionalresourcesfororganisationalmanagement.ForinformationontheMSOseetheNACLCwebsite.
1.4 Nationalcomplianceregime1.4.1 Originally,theGuidesetouttheprescribedrequirementsforcompliancewith
theNACLCNationalPIISchemeandwasusedprimarilyforassessingcomplianceforthatpurpose.Overtime,theGuideexpandedtoprovideadetailedpolicyframeworkforriskmanagementoflegalpracticeandrelatedservicedeliveryinCLCs,settingoutabroadernationalriskmanagementpolicy.Itgrewtoincludegoodpracticesthatwererecommendedforadoptionbycentresthathadtheresourcestoadoptandadheretostandardsabovebaselinecompliance.
1.4.2 NationallyconsistentriskmanagementoflegalpracticeandrelatedservicedeliveryisonepillaroftheNACLCandstateandterritoryassociations’drivefornational,consistentqualityassuranceofallCLCsacrossAustralia.
1.4.3 InadditiontothestandardssetoutinthisGuide,centresmayalsoberequiredunderfundingagreementstocomplywithservicestandardsorotherrequirementsthatmaypertaintothemanagementorsupervisionoflegalservicesand/ornon-legalservices.
Membershiprulesandaccreditation1.4.4 TheobligationoncentresparticipatingintheNationalPIISchemetocomplywith
theGuide’sMandatoryStandardshasbeenspecificallyreinforcedbyprovisionsinthecommonmembershiprulesadoptedbyallCLCstateandterritoryassociations.
1.4.5 FromOctober2010,NACLCandthestateandterritoryassociationsofCLCsbeganrollingoutasector-ledqualityassurancecertificationandaccreditationprocess:theNationalAccreditationSchemeforCLCs(NAS).ThesecondphaseoftheNAScommencedinearly2016.
1.4.6 FullmembersofstateandterritoryCLCassociationsarerequiredtoparticipateintheNASanddemonstratethattheysatisfactorilycomplywithortheyareactivelyworkingtowardssatisfactorycompliancewith,theNACLCAccreditationCriteria.TheNACLCAccreditationCriteriaincludethe17NASStandardslistedintheNASGuidelinesandtheMandatoryStandardsofthisGuide.
1.4.7 Asaresult,theMandatoryStandardsoftheGuideapplydirectlytoallfullmembercentres,regardlessofwhetherthecentreisintheNACLCPIISchemeornot.TheNASStandardsintheNASGuidelines includeaPrimaryRequirementthatthecentreparticipatesinandsuccessfullycompletestheannualcross-checkprocessprescribedinthisGuide.
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1.4.8 AlistoftheMandatoryStandardsintheGuide,withcross-referencestorelevantcommentary,appearsatChapter2.ItisimportantthatallthoseinvolvedinthemanagementandgovernanceofcentresunderstandtheexpectationsthatthestateandterritoryassociationsofCLCsandNACLChavewithrespecttoriskmanagement.ItisnotonlytheresponsibilityoftheResponsiblePerson(usuallytheprincipalsolicitor).CentrecoordinatorsandManagementCommitteesorBoardsmustensurethattheyandallstaff,includingvolunteers,arefamiliarwithallitsrelevantrequirementsandthatcentrestaffhavethesupporttheyneedtoensuresatisfactorycompliance.
1.5 Consequencesofnon-compliance1.5.1 Usually,ifacentredoesnotmeetaparticularstandard/sintheGuidean
actionplantoimproveisagreedbetweenthecentreandthecross-checker/PIIrepresentative.Thiswouldincludeatimeframe,whichmaybeamendedifnecessaryfollowingfurtherdiscussion.TheScheme’saimistosupportcentres’legalpracticestoachievecompliance.Wherethishasbeenunsuccessfulandthereisseriousongoingnon-compliancewithMandatoryStandardsoftheGuide,itcanleadtoexclusionfromtheNationalPIIPolicyandScheme.Seethediscussionofdecision-makinganddisputeresolutionat3.6,andinparticulartheprocedureandrelevantconsiderationsrelatingtonon-compliancewiththeRMGat3.6.13-25.
1.5.2 AstheMandatoryStandardsintheGuideareincorporatedintheNACLCAccreditationCriteria,itfollowsthatnon-compliancecouldultimatelymeanthatacentre’smembershipmaybereviewedbythestateorterritoryassociationofCLCs,andinextremecasesmembershipcouldbesuspendedorterminated.Eachstateandterritoryassociationhasrulesaboutmembershipthatincluderulesforaccepting,andsuspendingandterminatingmembershipoftheassociationintheeventofbreach.
1.6 Informationaboutinsurance1.6.1 TheGuideprovidesinformationaboutinsuranceasacomponentofrisk
management.ItprovidesdetailedinformationabouttheNationalProfessionalIndemnityInsurancePolicy(NationalPIIPolicy)negotiatedbyNACLC.Thatpolicyinsuresparticipatingcentresagainsttherisksassociatedwithlegalandlegalrelatedservicedelivery.TheGuideincludesacopyoftheNationalPIIPolicyandsomecommentaryaboutthescopeandtermsofthatpolicy:seeCh4,appendixaandappendixB.
1.6.2 Professionalindemnityinsurance(PII)insuresagainstriskssuchasprovidingincorrectadviceormissingacriticaldeadline.ThemostcommonlyencounteredareasofnotificationsorclaimsunderthePolicyare:
• beingoutoftimetocommenceoravoidlegalaction
• conflictofinterest
• incorrectadvice
• generalcomplaintsandservicedissatisfaction
• lost/damagedfiles
• failuretoadvise(ofanissue)
• defamation.
Therelativeincidenceofeachofthenotificationorclaimtypeschangesfromyeartoyear,butoverallfewclaimsaremade.
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1.6.3 FollowingtheGuidewillnotonlyensurecompliancewiththeNationalPIISchemerequirements,itwillprovideyourcentrewithalegalpracticeriskmanagementplanandqualityassurancestrategythatoffersbenefitstothecentre,itsworkersandmanagement,andtoitsclients,asonesubstantialelementofthecentre’soverallriskmanagementplan.
1.7 Nationalstandardsand‘national’legislation?1.7.1 TheGuidecontainsasetofriskmanagementMandatoryStandardsforcentres
thatdeliverlegalandrelatedservicesandsomerecommendedgoodpracticesuggestionsforthosecentresinterestedandabletoimplementadditionalimprovementstrategies,thatapplytocentresacrossAustralia.
1.7.2 TheGuidecontainsasetofriskmanagementMandatoryStandardsforcentresthatdeliverlegalandrelatedservicesandsomerecommendedgoodpracticesuggestionsforthosecentresinterestedandabletoimplementadditionalimprovementstrategies,thatapplytocentresacrossAustralia.
1.7.2 Atthetimeofwriting,stateandterritorylegalprofessionlawsstillgovernmanyaspectsoflegalpracticeandpractitioners,includingsomeofthebaselineexpectationsbetweenclientsandtheirlawyers.WherepossibletheGuidehighlightsandreflectsthesereferences,butprincipalsolicitorsmustensurethattheyareacquaintedwithandtheyandthelegalpracticecomplieswiththeirownjurisdiction’srequirements.
1.7.3 StepshavebeentakentonationaliseregulationofthelegalprofessioninAustraliaandthispotentiallyaffectsalllegalpracticesincludingcentres.Atthetimeofwritinganumberofjurisdictionshaveagreedtoparticipateinthenationalscheme.TheLegalProfessionUniformLawcameintooperationinVictoriaandNewSouthWaleson1July20151,andwithittheUniformRules,suchastheLegalProfessionUniformGeneralRules2015.TheUniformLawandUniformGeneralRulesreplacedtheLegalProfessionActandRegulationsinbothStateson1July2015.Itisveryimportantthatcentrestaffkeepapprisedofdevelopments,includinginrelationtotheadoptionoftheUniformLawandRulesinotherstatesandterritories,orchangestotheirownjurisdiction’sRules.
1.7.4 TheGuideisnotanalternativetocompliancewithlegalprofessionlaws;itoperatesinacomplementaryway.TheGuidetakesaccountofrelevantaspectsofthemainlegislationexistingatthetimeofwritingandprovidescommentaryabouthowcentresshouldoperatewithinthatregulatorycontext.
1LegalProfessionUniformApplicationAct2014(Vic);LegalProfessionUniformLawApplicationAct2014(NSW).
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CHAPTER 2
MandatoryStandardsInthischapter:2.1 thischapter 7
2.2 theGuide 7
2.3 Supervisionofcentrepracticebytheresponsibleperson 7
2.4 DelegationofresponsibilitytoaNominatedperson/s 7
2.5 Generalresponsibilitiesofcentres 8
2.6 Insurance,notificationsandclaims 8
2.7 Legalprofessionregulation 9
2.8 trustmoney,controlledmoneyandtransitmoney 9
2.9 ImmigrationassistanceandregisteredMigrationagents 9
2.10 Financialcounsellors 9
2.11 Socialworkersandotherprofessionals 10
2.12 Dutyofconfidentiality 10
2.13 Conflictsofinterest 10
2.14 practicesupervision:general 11
2.15 Specialist,auspicedorhostedservices,programsandprojects 13andauspicedcentres
2.16 Guidelinesaboutcentrework 14
2.17 Intake-recordsandprocedures 14
2.18 Instructions 14
2.19 LegaladviceandotherDiscreteassistanceServices 14
2.20 Files(paperandelectronicrecords) 16
2.21 Cross-checking 17
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Contextandscope2.1 thischapter ThischaptersummarisestheMandatoryStandardsintheGuide.Itmustberead
inthecontextofthewholeGuide.Thischapterprovidescross-referencestothemoredetailedinformationcontainedelsewhereintheGuide.
2.2 theGuide 2.2.1SeeCh1forgeneralinformationabouttheroleandpurposeoftheGuide.
TheGuidesetsminimumMandatoryStandardsforcentresthatareintheNationalPIIScheme.ThesestandardsalsoapplytocentresnotintheSchemethatarefullmembersofastateorterritoryCLCassociation.See1.1,and1.4.
2.2.2 ThestandardsintheGuideapplyalsotoanybranchoffice,toanyspecialist,auspicedorhostedservice,projectorprogramthatis,inalegalsense,partoforaccountabletoacentre(see7.10)andtoanycentrethatispartofamulti-programagency.
2.2.3 Allworkers,volunteersandManagementCommitteemembersmustbefamiliarwiththeMandatoryStandardsoftheGuide.Theserequirementsapplytoalllegalandrelatedservicedeliveryandtosomeotheraspectsoftheworkofthecentre(forexample,mediareleasesandadvocacy).Seeinparticular3.1.
MandatoryStandards2.3 Supervisionofcentrepracticebytheresponsibleperson2.3.1 EachcentremustappointinwritingatleastoneResponsiblePersontoperform
therolessetoutintheGuideandmustadvisetheirstateorterritoryCLCassociationandtheirPIIrepresentativeofthenameofthispersonandalsoofanychangeintheirpositionwithin14daysofanysuchchange.Seethedetailedinformation,includingastothequalificationsofResponsiblePersons,at3.5.21-28.
2.3.2 WhentheResponsiblePersonisunabletofulfiltheroleforanysignificantperiodforanyreasonthecentremustmakearrangementsforanothersuitablyqualifiedandexperiencedpersontoberesponsibleforthecentre’scompliancewiththeGuide.Thisshouldbeacentreemployeewhoisalawyerwithanunrestrictedpractisingcertificate,oranothersuitablelawyerwithanunrestrictedpractisingcertificate.Ifthisisnotpossible,thecentrewillneedtonegotiatewiththeirstateorterritoryPIIrepresentativetogetherwiththestateorterritoryCLCassociationandobtainapprovalforanalternativearrangement.See3.5.25-26,and7.2.6.
2.4 DelegationofresponsibilitytoaNominatedperson/s2.4.1 ItmaybenecessaryandappropriatefortheResponsiblePersontodelegate
responsibilitytooneormoreNominatedPersonswithsufficientqualifications,expertiseandexperience.Seeinparticular3.5.29-33and7.2.TheappointmentofaNominatedPersonmustbeinwritingandtheResponsiblePersonmustmakeclearthenatureandextentoftheresponsibilitiesdelegated.
2.4.2 AcentremustadvisetheirstateorterritoryCLCassociationandtheirPIIrepresentativewithin14daysofthenameofanypersonappointedasaNominatedPersonandalsoofanychangeintheirposition.WhereaNominatedPersonisnotacentreemployeeand/ornotalawyer,thecentremustinaddition
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notifytheirPIIrepresentativeandstateorterritoryCLCassociationoftheresponsibilitiesdelegatedtothepersonandtheexpertiseandexperienceofthepersonthatmakesthemsuitabletoperformthoseroles.
2.4.3 AllNominatedPersonsofacentremustparticipateintheannualcross-checkprocess.
2.5 Generalresponsibilitiesofcentres Seeinparticular3.5.35-40.
2.5.1 Anindividualcentremust:supportcentrestaffandvolunteerstoensurecompliancewiththeGuide’sMandatoryStandards;develop,maintainandregularlyreviewandamendasnecessary,policiesandprocedurestominimiseriskofclaims;havewrittenguidelinesandproceduresaboutthetypeofworkthecentrewillandwillnottakeonandensurethatworkersandManagementCommitteemembersarefamiliarwiththeseandallotherrelevantdocumentsincludingrelevantpartsofthisGuide.
2.5.2 AcentremustprovidetheResponsiblePersonwithsupportandresourcestoensuretheGuideisimplemented.
2.5.3 Acentremustrecogniseandrespecttheprofessionalobligationsofitsworkers,andsupportandresourceitsworkerstomeetthoseobligations.See3.5.38-40.
2.5.4 AcentremustparticipateinanymandatorymeetingsandtrainingandinductionactivitiesheldbythePIICommitteeorthePIINetwork.
2.6 Insurance,notificationsandclaims SeegenerallyCh4.
2.6.1 Acentremusthaveprofessionalindemnityinsurancethatsatisfiestherequirementsoftherelevantstateandterritorylegalprofessionregulatorybodiesandthetermsofrelevantlegislationinthejurisdiction.See4.9.AcentremayobtainsuchinsurancebyparticipatingintheNationalPIIScheme.SeeCh4.
2.6.2 Acentremustlistand/ordescribeallitsservicesinitsPIIapplication,includinganyspecialist,auspicedorhostedproject,programorservice(see7.10),branchoffice,clinicallegaleducationprogram(see7.12),DutyLawyerService(see7.13)orserviceprovidedpursuanttocontract,forexamplewithaLegalAidCommission(see7.14).
2.6.3 AcentreparticipatingintheNationalPIISchememustcooperatefullyintheinsurancerenewalprocessbycompletingalldetailsontheappropriaterenewalform,includingprovidinginformationonanyservicesoractivitiesperformedbythecentreoutsidethescopeofthe‘BusinessActivities’describedinthe‘Proposal’form(whichisinlinewiththe‘ProfessionalServices’asdefinedinthePIIPolicySchedule),anddisclosinganyneworalteredrelevantinformation.Seeinparticular4.6.21-24.
2.6.4 TobecoveredbythePolicy,acentremustnotifythebroker/insurerinwritingassoonaspossibleandwhilethePolicyisinforceaboutaclaimorlossandaboutapotentialclaim(anyfact/sorcircumstance/sthatmightgiverisetoaclaim).Seeinparticular4.7.Whereverpossiblethesestepsshouldbetakeninthefollowingorder:
• talktothestateorterritoryPIIrepresentativeorifthatpersoncannotbecontactedandthematterisurgent,toanotherstateorterritoryPIIrepresentative
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• discusspossiblenotificationwiththeinsurancebroker
• notifythebrokerwhowillforwardthenotificationtotheinsurer;or,ifnotifyingtheinsurerdirectly(forexample,becauseofurgency)sendacopyofthenotificationtothebroker.
AcopyofanynotificationmustbegiventothePIIrepresentative.ThePIIrepresentativemustalsobeadvisedoftheoutcomeofanynotification/claimthatismade.
2.6.5 Acentremustnotmakeanyadmissionsofliability.See4.7.18-20,and7.2.9-10.
2.7 Legalprofessionregulation SeegenerallyCh5.
2.7.1 Acentremustcomplywiththerequirementsofthelegalprofessionlawsoperatingintheirstateorterritory,orinallstateandterritoriesinwhichtheirstaffpractise.
2.7.2 Anypersonpractisingasalawyeratacentremustbeadmittedtopracticeandhaveacurrentpractisingcertificate.Whererelevant,theymustensurethattheyareontherelevantrollsofcourt.See5.5.1-3.
2.7.3 Wherethelawofastateorterritoryprovidesfor‘supervised’practiceandalawyerinacentreissubjecttoaconditionofsupervisedpractice,theResponsiblePersonatthecentremustensurethatreasonablesupervisionisprovided.See5.5.4-6,3.5.24and7.2.1-6.
2.8 trustmoney,controlledmoneyandtransitmoney2.8.1 Centresthatacceptmoneyfromoronbehalfofclients-ascontrolledmoniesor
ontrust-mustensurethatthereareadequate,appropriateandlegallycompliantproceduresfordealingwithandaccountingforit.Centresmustcomplywithallrequirementsoftheirstateorterritorylegalprofessionlawsandrulesoftheirlegalprofessionregulatorybodyinthisregard.See5.5.11.
2.8.2 Wherelegalprofessionlegislationinaparticularjurisdictionprovidesforthereceiptoftransitmoney,acentrereceivingtransitmoneymustdealwithitasrequiredbytherelevantlegislation.See5.5.12-14.
2.9 ImmigrationassistanceandregisteredMigrationagents2.9.1 Aperson,whetheralawyerornot,mustnotprovide‘immigrationassistance’
unlessthatpersonisaRegisteredMigrationAgent.See5.5.15.TheResponsiblePersonmustensurethattherequirementsoftheMigrationAct1958andassociatedregulationsaremet.
2.9.2 AcentreworkerorvolunteerwhoisaRegisteredMigrationAgentmustcomplywiththeMigrationAgentsRegistrationAuthority’scodeofconduct.See6.5.1.
2.10 Financialcounsellors Anypersonpractisingasafinancialcounselloratacentre,whetherasan
employedworkerorvolunteer,mustcomplywiththerelevantprofessionalassociationcodeoperatinginthejurisdiction,beaccreditedbytherelevantstateorterritoryassociation,meettheexemptionrequirementsundertheASICClassOrderfortheFinancialServicesReformAct2001(Cth)andmeettheexemptionrequirementsundertheNationalConsumerCreditProtectionAct2009(Cth).See6.3.
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2.11 Socialworkersandotherprofessionals2.11.1 Acentreworkerorvolunteerwhoisaqualifiedsocialworkerandisamemberof
theAustralianAssociationofSocialWorkers(AASW)mustcomplywiththecodessetoutbytheAASW.See6.4.
2.11.2 Othersimilarlyqualifiedworkersmustalsocomplywithrelevantindustrycodeswheretheyholdmembershipofprofessionalassociations.See6.5.
2.12 Dutyofconfidentiality2.12.1 Centreworkers,volunteers,studentsandManagementCommitteemembers
mustcomplywithallethical,contractualandotherlegaldutiesofconfidentiality.See6.6.Thesedutiesareowedtoallofthecentre’sclientsincludingthoseofanyspecialist,auspicedorhostedservice/project(see7.10)andbranchofficeofthecentre.
2.12.2 Anystatutoryorcontractualrequirementsfortheprivacyprotectionofpersonalinformationmustbemet.See8.19.
2.13 Conflictsofinterest SeegenerallyCh6.
2.13.1 Acentremustavoidconflictsofinterest–realand,asfarasispracticable,potentialandperceived.
2.13.2 Acentremusthaveapolicydealingwithconflictsofinterestandconflictchecking.Thepolicymustcoveranybranchofficeandanyspecialist,auspicedorhostedserviceofthecentre.SeeCh6generallyandinparticular6.7.6-7,8.2andseeappendixGforanexample.
2.13.3 Allstaff(employedandvolunteer)andmanagementmustbetrainedtoidentifypotentialandactualconflictsofinterestandaboutunderstandingandapplyingtheircentre’sconflictofinterestpolicyandprocedures.Thesubjectmustbecoveredduringtheorientationofnewstaff(employedandvolunteer)andManagementCommitteememberswhowillhaveanycontactwithclients,andreinforcedregularly.Seeinparticular6.7.7,6.7.20-27,6.7.50,and8.7.9-10.
2.13.4 AcentremustconductafullconflictofinterestcheckbeforegivingLegalAdvice(whethertheadviceisgiveninperson,onthetelephone,orinanyotherform)orprovidinganyotherDiscreteorOngoingAssistanceServiceswherethereisasolicitor/clientrelationship.SeeCh6generallyandinparticular6.7.46-73.Afullconflictcheckrequirestheclient’sname/sandthename/softheotherpartyorpartiestobecheckedinthecentre’sclientdatabase/s.Therearesomeverylimitedsituationswhereafullconflictcheckisnotrequired.Thesearesetoutat6.7.58-69.
Seealso8.2,8.3.7-8andappendixG.
2.13.5 Conflictschecksmustcoverthewholeofacentre’sserviceoperationsincludingwithineachandacrossallbranchofficesandallspecialist,auspicedorhostedprojects,programsorservices(see7.10)ifthoseoffices,services,programsorprojectseverprovideServicestoIndividuals(otherthanInformationorReferral).Seeinparticular6.7.49.
2.13.6 Ifaconflictofinterestisdiscovered,theperson/clientshouldbetoldthatthecentreisunabletoprovideaserviceandtheyshouldbereferredappropriately.Thecentremustbemindfulofthesolicitor’sdutyofprotectingclientconfidentiality,theclient’srighttoclientlegalprivilegeandprivacyobligations,asapplicable.See6.7.73.
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2.13.7 Acentremustrecordoneveryclientfileandadvicerecordthataconflictcheckhasbeendone.Inthesituationsetoutat6.7.67,whereaconflictcheckwasnotdoneofthenameoftheotherpartybeforeprovidingtheadvice,thatfactandthereason/sforitshouldbenoted.See6.7.71-72and8.3.7-8.
2.13.8 Acentrethatisa‘program’withinamulti-programagencymusthavespecificprocedurestoavoidandmanageconflictsofinterestandinparticularmusthave:an‘informationbarrier’thatcomplieswiththelegalprofessionlawsoperatingintherelevantstateorterritoryandthathasbeenapprovedbytherelevantstateorterritoryCLCassociationinconsultationwiththePIIrepresentativeandtheNationalPIINetwork;awrittenpolicyavailabletoclientsthatsupportsthisinformationbarrier;inclusionofkeyaspectsofthepolicyinstaffemploymentcontracts;regulartrainingonthepolicy;regularreviewoftheeffectivenessofthepolicyanditsimplementationbyanominatedstaffmember.Inaddition,staffcanonlybetransferredbetweenprogramsundercontrolledcircumstances.Inordertoavoidperceivedconflictsofinterest,thecentremusthaveadistinctivenameanditsowndistinctiveletterheadandbrandingonothercommunicationsthatclearlydifferentiatesthecentrefromtheotherprogramsoftheagency.See6.7.74-79,andthesampleInformationBarrierPolicyatappendixK.
2.13.9 Where,inthecourseofgivingInformationorReferraloranotherservicethatisprovidedunderasolicitor/clientrelationship,toaperson,acentreobtainsconfidentialinformationofakindortoadegreethatwouldorshouldprecludethecentrefromadvisingoractingforanotherpersoninthesameorarelatedmatterorfromadvisingoractingagainstthepersoninafuturematter,theclient/personandotherpartyinformationmustbeenteredintothecentre’sdatabaseusedforconflictchecking.Seeinparticular6.7.20-22.
2.14 practicesupervision:general2.14.1 TheResponsiblePersonmustensurethatreasonableandappropriatesupervision
isprovidedtoallworkersandvolunteersprovidingservicesforthecentre.See7.2,3.5.24and5.5.4-6.Thisincludesappropriatesupervisionofworkersandvolunteersprovidingservicesinanybranchofficeandanyspecialist,auspicedorhostedserviceorproject:see7.10.
2.14.2 AResponsiblePersonmaydelegatesomeoralloftheirsupervisoryresponsibilitytooneormoreNominatedPersonswhohaveappropriatequalifications,expertiseandexperience.See7.2and3.5.29-33.
2.14.3 IftheResponsiblePersonorothersupervisorisonleave,orresignsfromthecentreandthereisnoimmediatereplacement,thecentremustmakearrangementsforanothersuitablyqualifiedandexperiencedsupervisor.Seeinparticular7.2.6and3.5.25-26.
2.14.4 CheckingDiscreteassistance(otherthanInformationandreferral)andOngoingassistanceServices
2.14.4.1 TheResponsiblePersonoraNominatedPersonmustcheckallLegalAdviceandotherDiscreteandOngoingAssistanceServices(otherthanInformationorReferrals)performedbyvolunteerlawyersandvolunteernon-lawyersincludinginanybranchofficeandanyspecialist,auspicedorhostedservice,programorproject.WhereavolunteerisaNominatedPerson,theirlegalornon-legalservicesmustbecheckedbyaResponsiblePersonwhoisalawyerwithanunrestrictedpractisingcertificateorprincipalcertificate(howeverdescribed)orotheremployedlawyerwhohasanunrestrictedpractisingcertificate.Ifthisisnotpossible,thecentrewillneedtonegotiatewiththeirstateorterritory
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PIIrepresentativeandCLCassociationtoobtainapprovalforanalternativearrangement.Checkingmustbedoneassoonaspossibleafterthedeliveryoftheservice.
2.14.4.2 TheResponsiblePersonoraNominatedPersonmustcheck,asaminimum,asignificantproportionofNon-LegalSupportServicesperformedbyemployednon-lawyers(includingsecondednon-lawyers),includinginanybranchofficeandanyspecialist,auspicedorhostedservice,programorproject.ThisincludestheworkofaNominatedPersonwhoisnotalawyer.
2.14.4.3 TheResponsiblePersonoraNominatedPersonmustcheck,asaminimum,asampleofalltypesofServicesperformedbyemployedlawyers(includingsecondedlawyers),includinginanybranchofficeandanyspecialist,auspicedorhostedservice,programorproject,onaregular,frequentandrandombasis.ThisincludestheworkoftheNominatedPerson/sthemselvesandalsothatoftheResponsiblePersonunlesstheResponsiblePersonistheprincipalorseniorsolicitoratthecentreandhasanunrestrictedpractisingcertificate.
Seeinparticular7.2.7-8,7.2.11,7.10,7.11and3.5.24.
2.14.5 Ifitbecomesapparentthatincorrectorincompleteadvicehasbeengiventoaclient,theServiceProviderresponsiblemustbealerted,theclientmustbeadvisedofthecorrectadviceandthenewadvicemustberecorded.TheResponsiblePersonshouldconsiderwhetherthepersonmaypossiblyhaveaclaimagainstthecentrebearinginmindtheimperativenottoadmitliabilityunlesstheyhavetheconsentoftheinsurer:see7.2.9-10and4.7.18-20.
2.14.6 AnyemployeeorvolunteerprovidingLegalAdviceorotherlegalservicesorNon-LegalSupportServicesmusthavetimelyaccesstotheResponsiblePersonortheappropriateNominatedPerson.See7.2.11.
2.14.7 Filemanagement:forOngoingServices,theday-to-daymanagementorsupervisionofeachfilemustbetheresponsibilityofanemployedworker.See7.2.12.
2.14.8 Filereview:acentremusthaveacomprehensiveandaccessiblefilereviewsystemwhichmustensurethatallfilesareregularlyreviewedbothbytheresponsiblelawyerorotherServiceProviderandbytheResponsiblePersonoraNominatedPerson.Thesystemmustrecordineachfileandinthesystemitself:thereviewdate,thelimitationdatewithappropriateforewarnings,anyothercriticaldates,theemployedworkerresponsibleforthefileandfilereviewsconducted.Thesystemmustensurethatactiontobetakeninamatteronaparticulardate,includingfilereview,isnotmissedduetotheabsenceofaparticularperson.Seedetailat7.4andsee8.8.5.
2.14.9 electroniccommunicationspolicy:acentremusthaveapolicythatdealswithuseofelectroniccommunicationsthatmust,asaminimum,setoutthedisclaimertobeused,theprocedureforrespondingtoemailinquiriesandrequestsforadvice,thetreatmentofconfidentialinformation,andtherequirementthatemailsrelatingtoclientsreceivingongoingassistancebeprintedoutandplacedintheirfileand/orstoredontheirelectronicfile.IfthecentreprovidesAdvicebyemail,theelectroniccommunicationspolicyshouldincorporatetherelevantMandatoryStandardsintheGuidethatapplytothegivingofAdvice,forexample,dataentry,conflictofinterestchecks,fileopening,checkingadvice.TheResponsiblePersonorNominatedPerson(ifany)mustensurethatthereisanelectroniccommunicationspolicythatstaffandvolunteersknowaboutitandcheckthatitisbeingfollowed.See7.5,8.5.8-10andappendixF.
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2.14.10 CLe,Ceandmaterials:theResponsiblePersonorNominatedPerson(ifany)mustcheckanybrochures,publicationsorotherCommunityLegalEducation(CLE)orCommunityEducation(CE)materialsproducedbyacentre(includingspecialist,auspicedandhostedservices,programsorprojectsandbranchoffices,ifany)foraccuracyandlegalriskpriortotheirdistribution:see7.6and7.9-10.TheResponsiblePersonorNominatedPersonmustensurethatthecontentofCLEandCEsessionsisaccurateandcomplieswithrelevantlaws(forexample,defamation).Materialsmustcontainadisclaimer.WorkersconductingCLEsessionsmustnotgiveLegalAdviceduringthecourseofthosesessionsandmustmakeclearthatinformationprovidedinthesessionisgenerallegalinformationandnotLegalAdvice.See7.6.
2.14.11 CheckingLawandLegalServicereformorpolicyreformmaterials:theResponsiblePersonorNominatedPerson(ifany)mustcheckanyLawandLegalServiceReformorpolicyreformmaterialsproducedbythecentre,(includingspecialist,auspicedandhostedservices,programsorprojectsandbranchoffices,ifany)priortopublicationordistributiontoensuretheyarelegallyaccurateandanyriskofdefamationhasbeenconsidered.See7.7and7.9-10.
2.14.12 Checkingmediastatements:theResponsiblePersonorNominatedPerson(ifany)mustcheckallmediareleasesandstatementspriortotheirpublicationandmakesurethatworkerswhomayspeaktothemediaareawareofissuesarounddefamationlaws.See7.8and7.9-10.
2.14.13 Branchoffices:centresoperatingbranchofficesmustensurethattheycomplywithrelevantlegalprofessionlawsandthatstaffinbranchofficesaresuitablyqualified,supervisedandtrainedinandcomplywith,anyriskmanagementprocessesandpoliciesincludingthisGuide.See7.2.18.
2.14.14 Workloads:theManagementCommitteeandResponsiblePersonmustensurethatcentresdonottakeonmoreworkthanstaffcanreasonablyandsafelyhandle,thatongoingcaseworkandfileloadiskeptwithinreasonablelimitsandthatworkloadsaremonitoredtoensuretheyarekeptatamanageablelevelandthatadequatesupervisioncanbeandisbeingprovided.See7.3.
2.14.15 Volunteers:allnewvolunteersmustparticipateinatrainingandorientationprogramandreceiveanorientationpackagethatincludesinformationaboutthisGuideanditsrequirementsandhowtoaccessit,andaboutrelevantpoliciesandproceduresofthecentre(includingtheConflictofInterestpolicy),includingofficeprocedures,andserviceintakeguidelines.See7.11.Seealso7.12,6.7.7,6.7.29-37,6.7.80-82,and7.5.
2.15 Specialist,auspicedorhostedservices,programsandprojectsandauspicedcentres
Seegenerally7.10andsee3.5.24.
2.15.1 Aspecialist,auspicedorhostedservice,programorprojectthatisinalegalsensepartofandultimatelycontrolledbythecentremustcomplywiththeMandatoryStandardsofthisGuideandbesupervisedbythecentre’sResponsiblePersonand/orNominatedPerson/s(ifany).Seediscussionat7.10.
2.15.2 Anyclientservicesprovidedbytheservice/projectmustbeopenedasarecordofthecentre,theservice/projectmustusecentreletterhead(whichmayhaveasubheadinginthenameoftheservice/project),service/projectworkersmustsigncorrespondenceovertheirstatedpositionandtheservice/projectmustbeincludedintheannualcross-checkofthecentre.
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2.15.3 Whereacentreisanauspicedserviceofalargerentity,specificproceduresmustbeputinplacetoavoidandmanageconflictsofinterest.See2.13.8aboveandsee6.7.74-79.
2.16 Guidelinesaboutcentrework Eachcentremusthavewrittenguidelinesaboutthetypeofwork–Servicesfor
Individuals(forexample,LegalAdvice,LegalTask,Non-LegalSupportServices,RepresentationServices)andServicesfortheCommunity(forexample,CLEandCEandLawandLegalServiceReform)theywillandwillnottakeon.See3.5.37and8.1.
2.17 Intake-recordsandprocedures2.17.1 Thisparagraphandparagraph2.17.2donotrefertocontactwithapersonthat
onlyentailsprovidingInformationand/orReferral.Thefollowinginformationmustberecordedforallpotentialoractualclients2atthepointofinitialcontact:client’sname(includingalternativespellings/othernamesusedetc),dateofbirth,contactdetails,dateinstructionsreceived,typeofmatter,indicationthataconflictcheckhasbeenperformedand,unlesswithintheverylimitedexceptionsat6.7.58-68,name/sofotherparties.See8.3.
2.17.2 Theremustbeauniqueclientidentifierforeveryclient.Whereafileisopeneditmusthaveauniquefilenumber.AllLegalAdviceandotherServicerecordsandfilesmustbereadilyretrievable.Centresmusthaveacentralfileregisterandafilingsystemthatallowsallclientrecordstobelocatedbynameandnumberandtheirstatus(open/closed)recorded.See8.3.11and8.10.
2.17.3 CLSIS,CLaSSandotherdatasystems:FortheperiodthatthecentreisusingtheCommunityLegalServicesInformationSystem(CLSIS)orCommunityLegalAssistanceServicesSystem(CLASS),itmustimplementtheaccessandusagestandardsandprotocols,includingdatasecurityanddataprotectionmeasures,requiredforthatsystem.CentresmustensurethatworkersandvolunteersreceiveappropriateCLASStraining(duetoitsimminentdecommissioning,CLSIStraininghasceased).CentresthatusedatabasesotherthanCLASSmustalsoimplementtheusagestandardsanddataprotectionmeasuresdescribedinthisGuide.See8.7.
2.18 Instructions Thisparagraphdoesnotrefertocontactwithapersonthatonlyentailsproviding
Informationand/orReferral,oranyotherDiscreteAssistancewherethereisnotandwillnotbeasolicitor/clientrelationship.Alllegalandrelatedproblemsmustberecordedlegiblyandinsufficientdetailsothatthenatureofthematterandclient’senquiryisclear.CopiesofrelevantdocumentsshouldbeattachedtotheLegalAdviceorotherServicerecord.See8.4.
2.19 LegaladviceandotherDiscreteandOngoingassistanceServices
See8.5and8.6.
2.19.1 ArecordofallLegalAdvice,LegalTask,Non-LegalSupportServicesand,whereaReferralorotherInformationisgivenatthesameoccasion,arecordofthoseServices,mustbenotedinsufficientdetailonthematterfileoradvicerecord/
2WhereyourcentreisprovidingLegalAdviceorotherServicestoacentrevolunteeroremployee,ortoanothercentre,therecipientoftheLegalAdviceorotherServiceswillbeconsidereda‘client’ifitwouldbesoregardedifitwasanindividual.Fullintakeprocedureswillneedtobefollowedinsuchcircumstancesastheywouldbewithanyotherclient,bothforcompliancewiththisGuideandtoensuretheinsurancecoverisnotjeopardised.See4.6.30-31and6.7.88
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sheet,thenameofthepersongivingtheLegalAdviceorotherServicemustberecordedandtherecordmustbesignedanddatedbythepersongivingtheLegalAdviceorotherService.ElectronicrecordsmustclearlyrecordwhoprovidedtheLegalAdviceorotherServiceandthedateitwasprovided.See8.5.3and8.5.7.
2.19.2 Clientsmustbeadvisedofallrelevantlimitationdatesorlimitationperiodsandthisadvicemustberecorded.See8.5.4-6.
2.19.3 TheprofessionalbasisoftheLegalAdviceorotherServicemustbedisclosedandpeoplewhoarenotlegallyqualifiedorwhoarelegallyqualifiedbutnotpresentlyholdingapractisingcertificatemustnotholdthemselvesoutasalawyerorapractisinglawyer,andmustactivelytakestepstoensurethataclientofthecentredoesnotinferthattheyarealawyer,orapractisinglawyer.See8.5.1-2.
2.19.4 emailadviceandadvicebyotherformsofelectroniccommunication:ifacentregivesAdvicebyemailoranyotherformofelectroniccommunicationtheMandatoryStandardsinthisGuideapplytogivingtheAdviceinthesamewayastoAdviceinperson,bytelephoneorbywrittencommunication.Thismustbereflectedinthecentre’selectroniccommunicationspolicy.See7.5and8.5.8-10.
2.19.5 advicetothirdparties
See8.5.11-15and6.7.23-26.
2.19.5.1 AcentremustnotprovideAdvicetoathirdparty(thatis,toapersonwhorequestsadviceonbehalfofanotherperson)unlessthereareexceptionalcircumstances,forexample:
• itisapersonwhoclearlyactswiththeclient’sconsentorwithcleardelegatedauthorityfromanorganisation
• itisapersonrepresentingtheclientinaprofessionalcapacity,forexample,asolicitor,asocialworker,welfareworkerand/orfinancialcounsellortheclientisincapacitatedorhospitalised
• theclientlacksthecapacitytogiveinstructions,or
• apowerofattorneyorguardianshipisheld(andthecentrehassightedthesedocuments).
2.19.5.2 BeforeprovidingAdvicetoathirdparty,theadvisorshouldascertainwhetheritispossibletocommunicatedirectlywiththeultimateclient.Ifitisnot,thereshouldbesomerecordedevidencethattheadvisorhasusedtheirbestendeavoursinthecircumstancestoconfirmthatthethirdpartyisactinginthebestinterestsoftheclientandthatthereisnoreasonablebasisforthinkingthatthereisaconflictofinterestbetweenthethirdpartyandtheclient.
2.19.5.3 IfthecentreintendstoprovideAdvice,theultimateclient’snameandthename/sofotherpartiesmustbeobtainedsoaconflictcheckcanbeperformedanddetailsenteredontherelevantdatabase.
2.19.6 retentionanddestructionofadvicerecords:centresmustkeepeveryrecordofanAdviceandotherDiscreteorOngoingAssistancewheretherehasbeenasolicitor/clientrelationshipforatleast7yearsfromthedatetheServicewasprovided.Generallyafterthattimetherecordmaybedestroyed,withoutnoticetotheclient.However,beforedoingsocentresshouldconsiderwhetherinaparticularinstancetherearecircumstanceswarrantingalongerperiodofretention.BeforedestroyinganydocumentsorcopiesofdocumentsattachedtoanAdviceorotherServicerecordacentremustconsiderwhetherthosedocumentsoughttobereturnedtotheclient,forexample,aretheyoriginalsand/oranyotherdocuments
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whichbelongtotheclientandtowhichtheclientisentitled.See8.5.16-18.(Inrelationtoretentionanddestructionofcaseworkfiles,see2.20.14belowand8.14.)
2.20 Files(paperandelectronicrecords)2.20.1 Centralfileregister:acentremusthave,maintainanduseacentralfileregisterin
someform.See8.3.11-12,and8.10.
2.20.2 Thecentralfileregistermustrecordwhenafilehasbeenopened(andsee2.17.2above)andclosed.See8.8.2,and8.13.1-2.
2.20.3 Aletterofengagementorclient/litigationagreementmustbeprovidedtotheclientincircumstanceswherethisisrequiredbylegalprofessionlegislationoperatingintherelevantjurisdiction.See8.8.3-4,andappendixJ.
2.20.4 recordkeyinformation
2.20.4.1 Thefollowinginformationmustberecordedprominentlyonoratthefront(forexample,insidethefrontcover)ofallfilesforOngoingAssistance:fullname,addressandtelephonenumber(ifany)ofclient;fullnameoftheotherparty;indicationthataconflictofinterestcheckhasbeendone;problemtype;filenumber;limitationdate(see8.8.5);othercriticaldates(ifany);reviewdates;nameofworkerresponsibleforfile.Centresshouldconsiderclientconfidentialitywhendeterminingwhatinformationwillappearontheoutsidecoverofafile.See8.8.6.
2.20.4.2 Thefollowinginformationmustberecordedinthefilewhenanewfileisopened:outlineoftheclient’sproblem;outlineoftheAdvicegiven(ifany);datefileopened;dateinstructionsfirstreceived;dateAdvicegiven(ifany).See8.8.7.
2.20.4.3 Centresmustcomplywithfilemanagementrequirementsofanyapplicablelegalprofessionlaws.See8.8.8.
2.20.5 Filenotesmustbemadeofalltelephoneorface-to-faceattendanceswiththeclientoranyotherpersonspokentoinrelationtothematter.Thesemustbeputonthefile.See8.8.9fordetails.
2.20.6 Communications:recordsmustbemadeandkeptofallincomingandoutgoingclient-relatedcallsandothercommunications.See8.8.10.
2.20.7 Documents:copiesofallcorrespondence,courtdocuments,andanyotherdocuments,andrecordsofanyadministrativeorfinancialrecordsincludingevidenceofdisbursementsmustbekeptonthehardcopyfileandelectronicrecordsmustbestoredinanelectronicfilededicatedtotheparticularclientmatter.See8.8.11-13.
2.20.8 Clientinformationsecurity:centresmustprotectclientconfidentialityandclientlegalprivilegebyensuringthatunauthorised(includinginadvertent)accessto,andunauthorisedimpartingof,clientinformationdoesnotoccur.Physicalandelectronicfilesmustbesecurelymaintained.Strongpasswordsshouldberequiredtoaccessanycomputeronacentre’snetworkordatasystem.Wheredataisretainedlocally,allcentredatamustbebackedupdailyorasfrequentlyaspossibleandatleastweekly.WherethecentreisusingCLASS,oranyothercloud-basedsystem,itmusthavesatisfieditselfthatthesystemhasabackupsystemorstorestheinformationinmorethanonesecurelocationinsideAustralia.Centresusingacloud-basedsystemareencouragedtoconsideralsomaintainingandrecordinglocalrecordswherepossible.Mobiledevices(forexample,smart‘phones,laptops)containingclientinformationshouldbestronglypasswordprotected.Portabledatastoragedevices(forexample,USBflashdrives)containingclientinformationshouldbesecurelymanagedandstored.See8.9and8.7.
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2.20.9 Filemovements:iffilesaretakenoutofthecentre(forexample,tocourt)thecentreandrelevantcentreworkermusttakeallreasonableandpracticablestepstomaintainthesecurityofthefile/s,tominimisetheriskofafilebeingdamagedorlostandtomaintainclientconfidentiality.See8.10.
2.20.10 Fileownership:centrestaffandvolunteersdonotownclientfilesandmustnottreatthemastheirproperty.Whentheemploymentorvolunteerrelationshipends,thefilesremainwiththecentreormustbereturnedimmediately.See8.12.
2.20.11 Ifathirdparty(includingafunder)seeksaccesstoafile,theResponsiblePersonorthecentremust,absenttheclient’sconsent,claimclientlegalprivilegeonbehalfoftheclient.See8.12,and8.15.
2.20.12 Wills:ifacentreretainsanoriginalwillofaclient,itmustnotbekeptonthefilebutinasecureplacewithaWills/SafeCustodyRegister(howeverdescribed)thatcomplieswithapplicablelegalprofessionlegislation.See8.14.10.
2.20.13 Closingfiles:beforeafileisclosed,itmustbereviewedbytheResponsiblePersonoraNominatedPerson,theclientmustbegivenwrittenadviceasdescribedin8.13.1andtheadministrativeprocessesdescribedat8.13.1-2mustbecompleted.
2.20.14 archivinganddestruction
2.20.14.1 Closedfiles(hardcopy)mustbestoredinasecureenvironmentawayfrompublicorunauthorisedaccess,includinginadvertentaccess.Theyshouldbearchivedinsuchawayastoallownecessaryaccess.See8.14.1.
2.20.14.2 Filesmustbekeptfor(atleast)theperiodprescribedbyapplicablelegislation(usually7yearsfromthedatethefileisclosed,howevertheResponsiblePersonshouldbefamiliarwiththetypesoflegalmattersthatrequirelongerperiods,andtheprescribedperiods).Whereafileisnottobedestroyedthisshouldbeclearlymarkedonthefile.See8.14.(See8.5.16-18inrelationtotheretentionanddestructionofAdvicerecords.)
2.20.14.3 Clientfilesthatareinelectronicformmustberetainedfor(atleast)theperiodprescribedbyrelevantlegislation.CLSISandCLASSrecordsmustberetainedindefinitelyandnotdeletedfromtherespectivedatabase.See8.14.2-5.
2.20.14.4 Acentremustcomplywithanylegislativerequirementsintheirjurisdictioninrelationtoarchivinganddestructionoffilesincludingrequirementsaboutobtainingclientconsent.See8.14.
2.21 Cross-checking SeeCh9andappendixD.
2.21.1 Acentremustparticipateinanannualcross-checkprocedure.Thisincludesacross-checkofanybranchofficeandanyspecialist,auspicedorhostedservice,programorprojectthatisinalegalsensepartofandcontrolledbythecentre.
2.21.2 Anycentreworkercarryingoutacross-checkmustsignanundertakingthatanyclientandcentreinformationobtainedduringthecross-checkprocesswillbekeptconfidentialaspartofthePIIprocess.
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CHAPTER 3
riskManagementforCommunityLegalCentresInthischapter:3.1 WhatisCLCpractice? 19
3.2 Whatisriskmanagement? 19
3.3 Whymanagerisk? 19
3.4 theNationalpIISchemeanditsriskManagementStrategies 20
3.5 StakeholdersandroleswithintheNationalpIIScheme 20 3.5.2 NACLC 20
3.5.6 TheNationalPIINetwork 21
3.5.9 StateandterritoryCLCAssociations 22
3.5.11 PIIRepresentative 23
3.5.12 StateandterritoryPIIcommittees 23
3.5.16 Additionalrolesatstateorterritorylevel 24
3.5.21 ResponsiblePerson 25
3.5.29 NominatedPerson 29
3.5.34 Cross-checker 30
3.5.35 Thecentre 30
3.5.38 Relationshipbetweencentremanagementandlawyers 31
3.5.41 Clientsandpotentialclients 32
3.5.42 Fundingbodies 32
3.6 Decision-makinganddisputeresolution 32 3.6.1 Decision-makingprinciples 32
3.6.7 Disputeresolution 34
3.7 Mergersandamalgamations 27 3.7.3 Insurance 27
3.7.10 Changingthelegalentityandnotifyingthestatelegal 39 professionregulator
3.7.11 Databasemergersandconflictsofinterest 39
3.8 Centreclosures 41 3.8.2 Dealingwithopenandclosedfiles 41
3.8.8 PIIrun-offcover 42
3.8.11 Noticetolegalprofessionregulatorybodies 42
3.8.13 Otherissues 42
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3.1 WhatisCLCpractice?3.1.1 InthisGuide,wehaveusedtheterm‘practice’tocoverbothlegalandnon-legal
practiceandalltherelatedservicesthatthecentremayprovide.Thesemayinclude:
• areasofcentrepracticethatdonotinvolveLegalAdviceandRepresentationServices
• LawandLegalServicesReformorpolicyreformsubmissionsandcampaigns
• CommunityLegalEducationResourcesandActivities
• relatedmediareleases.
ThisdiversityreflectsthebroadandholisticnatureofCLCwork,andthereforemustalsobeseenastherangeofactivitiesthatcouldgiverisetoliability,andarethe‘ProfessionalServices’forwhichNACLChasnegotiateditsnationalprofessionalindemnityinsuranceforcentres.
3.1.2 Whilemanyoftheissuesarisingareinterconnectedandinterrelatedtheyaredealtwithunderchapterheadingsthatrepresentkeyissuesforcentres.
3.2 Whatisriskmanagement?3.2.1 Riskmanagementistheidentification,assessment,andprioritisationofrisks
followedbycoordinatedandeconomicalapplicationofresourcestominimise,monitor,andcontroltheprobabilityand/orimpactofunfortunateevents.ItisthesubjectofseveralinternationalstandardsincludingISO/DIS31000(2009)Riskmanagement–Principlesandguidelines.
3.2.2 Riskmanagementfallsintotwokeyareas:
• riskassessment
• operationalriskmanagement.
TheGuideisprimarilyaboutoperationalriskmanagement,althoughofcourseallcentresandNACLCandtheNationalPIINetworkasoperatorsoftheNationalPIISchemeitself,areconcernedwithriskassessment.
3.3 Whymanagerisk?3.3.1 Thisisagoodquestionwithanumberofsimpleanswers:
• toprotectclientsandotherswhocouldbedamagedbycentres’operations
• toprotectcentresandtheirstaffandvolunteers
• toprotecttheinterestsandreputationsofcommunitylegalcentres
• toprotecttheinterestsofstakeholdersandpartners,suchasfundingbodiesandsupporters.
3.3.2 Themoreacentrethinksaboutpossiblerisksandhowtoavoidthemwhenplanninganddeliveringitsservices,thelesslikelyitisthatthoseriskswillberealisedandtheclientservicewillbebetterquality.
3.3.3 Ofcourse,centreswillalsowanttoprotectthemselvesandtheirstaff.Centreswillnotwanttoincurliabilitythroughmistakesorpotentiallyriskyactivitiesandtheywillwanttobecoveredbytheirinsurancepoliciesbecausemistakesandaccidentsdohappen.Insuredcentresareexpectedtodoeverythingtheycantoavoidandmitigaterisks.TheNationalPIIPolicysays:
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Loss PreventionYou shall, as a condition to Cover under this Policy, take all reasonable steps to prevent any act, error, omission or circumstance which may cause or contribute to any Claim or loss which may be Covered under this Policy.
3.3.4 It is important to understand that something going wrong or an incident being mishandled at one centre can have an adverse effect on other centres and even on the whole sector. An increase in insurance premiums is one possible consequence. Unfavourable media and political comment or consequence can be another that has the potential to adversely reflect on and affect the whole sector.
3.4 The National PII Scheme and its risk management strategies 3.4.1 The National PII Scheme’s risk management strategies include:
• setting and assessing centres’ compliance against minimum operational and organisational risk management Mandatory Standards, and
• the publication of this Guide which lists the Mandatory Standards but is also an organisational development and quality assurance and improvement tool with its optional but recommended additional good practices that can further improve a centre’s legal practice and related services risk management.
3.4.2 In short, centres are encouraged to comply with all aspects of the Guide. Some aspects such as attendance at meetings and participation in cross-checks are monitored by state and territory CLC associations and state and territory PII representatives. The good practice aspects are monitored in part by the cross-checks but primarily by the centre itself through the ongoing processes contained in the Guide. This is further supported through the NAS process, whereby improvement actions are included in their agreed Improvement Plans developed as part of their participation in the NAS.
3.5 Stakeholders and roles within the National PII Scheme3.5.1 There are a multitude of stakeholders with an interest in centre practice risk
management, including:
• clients and potential clients of centres
• individual centres
• the CLC sector and the legal assistance sector as a whole
• funding bodies
• state and territory associations of CLCs
• NACLC
Those that operate within the National PII Scheme each have their own role and responsibilities. It is important to understand each of the roles in the context of the national CLC sector and the National PII Scheme’s framework. It is also important that the levels of accountability within each role are well understood.
NACLC3.5.2 NACLC is the national peak body for CLCs in Australia. NACLC is the coordinator
and principal policyholder of the NACLC National PII Policy and the PII Scheme. NACLC’s purpose is to assist disadvantaged and marginalised people obtain access to legal services by, among other things, supporting centres to provide
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qualityservices.Itfostersgoodpracticeandcontinuousimprovementamongcentresandplaysaleadershiproleinpromotingandprotectingtheinterestsofcentres.NACLC’smembersarethestateandterritoryCLCassociations.NACLCisaregisteredcharity,andacompanylimitedbyguarantee,governedbyaBoardofDirectors.NACLCalsohasanAdvisoryCouncil,whichismadeupofrepresentativesappointedbythestateandterritoryassociationsofCLCs,anAboriginalorTorresStraitIslanderwomanandman,andmayalsoincludeadditionalpeople.
Role
3.5.3 InconsultationwithitsmemberassociationsandtheCLCsector,NACLCleadsthedevelopmentandmaintenanceofgood-practicenationalriskmanagementpoliciesandstrategiesthatworkeffectivelyforcentresandtheirclients.
3.5.4 NACLChasoverallresponsibilityandcontroloftheNationalPIIScheme,thatroleincludesresponsibilityfor:
• negotiationofthetermsofthePolicywiththebrokerandtheinsurer,andfortheongoingadministrationofthePolicywiththebroker
• negotiationandpaymentofthepremium
• seekingcontributiontothecostofthePolicyfromgovernmentorotherpossibleappropriatesources
• promotinganationallyconsistentapproachtoriskmanagementandtheapplicationofthisGuide
• reviewing,improving,updatingandamendingthisGuideinconsultationwiththeNationalPIINetwork
• decisionstoincludeorexcludeacentrefromtheNationalPIISchemeandcoverunderthePolicy,takingintoaccounttherecommendationsandadviceoftheNationalPIINetworkorotherbases(forexample,failuretosatisfactorilycomplywiththeNACLCAccreditationCriteriaundertheNAS,orbreachofCLCassociationmembershiprules)
• decisionsinrelationtofinancialexpenditureandadministration,orthathaveormayhaveafinancialeffectontheSchemeoronNACLC
• decisionsthatrequireorhaveaneffectonNACLCresources
• decisionsaroundmajorpolicyissuesordirectionsoftheNationalPIIScheme
• makingdecisionsaspartofthedisputeresolutionprocedure(see3.6)
• decisionsasrequiredonimportantquestionsofinterpretationoftheGuideorthePIIPolicy,and/orthenationallyconsistentapplicationorimplementationoftheGuide
• maintainingandoperatingtheExcessFund(see4.4.13-18).
Accountability
3.5.5 NACLCisaccountablethroughitsBoardtoitsmembers–thestateandterritoryassociationsofCLCs.
theNationalpIINetwork3.5.6 TheNationalPIINetwork(sometimesreferredtoastheNationalPIICommittee)is
oneofthemajornationalnetworksofcentressupportedbyNACLC.TheNationalPIINetworkcomprisesaPIIrepresentativefromeachstateandterritory,appointed
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orelectedbytheirrespectiveassociations(see3.5.11),andaNACLCstaffmember.Thequorumfordecision-makingis4members.DecisionscanbemadebyasimplemajorityalthoughtheNetworkusesitsbestendeavourstoresolvemattersbyconsensus.
Role
3.5.7 TheroleoftheNationalPIINetworkincludes:
• reviewingandrecommendingimprovementstothePIIPolicy
• exercisingdelegatedauthorityfromNACLCtoadministertheNationalPIISchemeanddevelopandimplementormaintainitsprocessesanddocuments
• makingrecommendationsorreportstoNACLCandprovidingadviceasrequired/necessary
• promotinganationallyconsistentapproachtoriskmanagementandtheapplicationandimplementationofthisGuide
• considering,planningandimplementingpreventativestrategiesandactions,forexample,informationoreducationsessionsforcentrelawyersattheNationalCLCsConference,orrevisionoftheGuide
• consideringanddecidingdisputesandissuesbroughttoitbycentres,PIIrepresentativesand/orstateandterritoryPIIcommitteesand/orassociations:see3.6
• meetingaminimumoffourtimesayearincludingoneface-to-facemeetinginconjunctionwiththeNationalCLCsConference.
• Decisionsinvolvingfinancialexpenditure,useofNACLCresources,and/ormajorpolicyissuesordirections,areexcludedfromtheNationalPIINetwork’sdecision-makingrole(theyremainwiththeNACLCBoard).
Accountability
3.5.8 TheNationalPIINetworkisaccountabletoNACLCinregardtothefunctionsdelegatedtoitasoutlinedabove.Itsmembersarealsoaccountableinsomeaspectstotheirownstateorterritoryassociations.
StateandterritoryCLCassociations3.5.9 ThestateandterritoryassociationsofCLCsarethemembersofNACLCandplay
averysignificantroleinriskmanagement.TheysupportandcoordinateaspectsofthePIIcomplianceprocessandmayhavesomedecision-makingfunctionsasexplainedintheGuide.Stateandterritoryassociationsdeterminetheirrespectivemembership.ThestateCLCassociationsinVictoria,NSWandQueenslandhavealsobeenauthorisedbyNACLCasCertifiersundertheNASandaredecision-makersonapplicationsforCertificationorrenewalofCertificationforfullmembercentresintheirrespectivestates.
3.5.10 ResponsibilityforensuringthattheNationalPIISchemeisadministeredattheregionallevellieswiththestateandterritoryassociations.Howthisisdonevariestosomedegreefromregiontoregionalthoughtherearesomecommonelements.Thestateandterritoryassociationsalsoplayaroleindisputeresolution(see3.6)andhaveotherparticulardecision-makingresponsibilities:see3.5.23,3.5.25,and6.7.76.
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pIIrepresentative3.5.11 EachstateandterritoryCLCassociationmustappointornominateannuallyone
pIIrepresentativetobethatregion’srepresentativeontheNationalPIINetwork.(Astateorterritoryassociationmaychoosetohavetworepresentativestosharetheworkbuttheyoperateasalternatesinthecontextofdecision-making.)InpracticethatpersontendstobetheworkhorseintheadministrationoftheNationalPIISchemeintheirstateorterritory.CoreresponsibilitiesofthePIIrepresentativeinclude(butmaynotbelimitedto):
• representingtheparticipatingcentresfromtheirstateorterritoryontheNationalPIINetwork
• conveningaminimumoftwomeetingsoftheirstateorterritoryPIIcommitteeorsimilargroupeachyear
• coordinatingtheadministrationoftheNationalPIISchemeintheirstateorterritory
• discussingpotentialnotificationswithResponsiblePersons(ideally)beforeanotificationismadetotheinsurer
• providingguidancetocentresabouttheinsurancePolicy,theNationalPIISchemeandcompliancerequirementsandprocedures
• adoptingandpromotingintheirstateorterritoryanapproachtoriskmanagementandtheapplicationandimplementationofthisGuidethatis,asfarasispracticable(takingintoaccountanyregionaldifferencesinlaw),consistentwiththatofotherstatesandterritories
• bringing(whereverpracticablypossible,de-identified)informationtotheNationalPIINetworkaboutissuesarisingintheirstateorterritorythatinvolveimportantquestionsofinterpretationoftheGuideortheinsurancePolicyand/orthatraisethenationallyconsistentapplicationorimplementationoftheGuideand/orarerelevanttotheNationalPIISchemeand/ortoriskmanagementincentresnationally
• communicatinginformation,strategiesandpolicyfromtheNationalNetworkbacktotheircommitteeandparticipatingcentres
• raisingissuesofseriousconcernornon-compliancewiththePIIcommittee/stateorterritoryassociation/NationalPIINetworkandthroughtheNationalNetworkwithNACLC,asappropriate.
• Insomestatesandterritories,PIIrepresentativesalsotakeresponsibilityforanumberoftheactivitieslistedbelowin3.5.12-16.Forfurtherinformation,seeappendixe:PIIRepresentatives:Framework,RoleandResponsibilities,whichhasbeenpreparedtoguidePIIrepresentativesfortheirworkinthatrole.
StateandterritorypIIcommittees3.5.12 InsomestatesandterritoriestheworkofthePIIRepresentativeissupportedby
apIIcommittee(orotherworkinggroup)comprisinganumberofcentreworkerswhomeetregularly(usuallythiswillbeprincipalsolicitorsorNominatedPersons).Thearrangementsofthesegroupsvaryineachstateandterritory,andsomeofthestate-specificarrangements,includingtherolesandresponsibilitiesofthosegroups,aresetoutinappendixe.
3.5.13 Forexample,inWAandQueensland,thePIICommitteeiscomprisedofalltheResponsiblePersonsfromallcentresthataremembersoftherespectivestate
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CLCassociation,primarilyforinformation-sharingpurposes;andasmallersub-committeeofthatgroupprovidesmorein-depthsupporttothePIIRepresentative.
3.5.14 InVictoria,the‘PIIWorkingGroup’ismadeupofpeoplefromsixcentreswhosharetheworkloadofsupportingthePIIRepresentative.InNSWthePIICommitteecomprisestheResponsiblePerson(usuallytheprincipalsolicitor)ofeachcentreparticipatingintheNationalPIISchemeandtheCommittee’sconvenorwhoisthestateorterritoryPIIrepresentativeonthenationalPIINetwork,hasresponsibilityforperformingmostoftheduties.TheACTandNTdonothaveaseparatePIIcommitteeandtheirrespectiveCLCassociationsdealwithPIImattersasneeded.
3.5.15 Forconvenience,thisguideusestheterm‘PIIcommittee’toincludeallsuchstateandterritory-basedarrangements.
additionalrolesatstateorterritorylevel3.5.16 InadditiontothecoretasksperformedbythePIIrepresentative(seeabove),there
areanumberofothertasksthatneedtobeperformedatthestateorterritorylevelinorderfortheNationalPIISchemetoworkandforrisk-managementtobeenhancedwithincentres.Inpractice,PIIrepresentativesandPIIcommitteestakeday-to-dayresponsibilityfordealingwithlegalpracticeandriskmanagementissuesintheirregion’scentres,bothgenerallyandastheymayaffectorrelatetotheNationalPIIScheme.PIIrepresentativesandcommitteesalsohaveaproactiveandpreventativeroleinidentifyinganycommonareaswherecentreprocedurescouldbeimprovedtoenhanceriskminimisation,forexample,bytrainingorthesharingofgoodpractices.Whiletherecanbediversityamongstatesandterritoriesinhowparticulartasksareorganisedandallocated,ultimatelythestateorterritoryassociationmustensurethataparticularperson(forexample,convenor,PIIrepresentative,othercommitteemember)and/orentity(forexample,committee,stateassociation)istakingresponsibilityforeachofthefollowingroles:
• administeringandoverseeingtheimplementationoftheNationalPIISchemeinitsrespectivestateorterritory
• inconjunctionwiththestateorterritoryassociation,assessingnewcentresthatapplyforadmissionintotheNationalPIIScheme,andadvisingthestateorterritoryassociationandNACLCofitsassessmentinrelationtothecentre’seligibilityforinclusionintheNationalPIIScheme
• coordinatingtheannualcross-checkproceduretomonitoreachcentre’scompliancewiththeMandatoryStandardsintheGuide.(ThisprocedureiscarriedoutusingtheCross-checkQuestionnaireatappendixD,whichiscompletedbystaffandvolunteersfromeachcentre,assistedby‘cross-checkers’fromothercentres)
• assessingcross-checkquestionnaires
• incaseswhereacentrehasnotsufficientlycompliedwiththerequirementsintheGuide,identifyingandcommunicatingactionswhichthecentremusttakewithinaspecifiedtimeframetocomplyand/orputtinginplacemechanismsasaprerequisiteforthecentre’sinclusionintheScheme
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• organising,oftenwiththesupportofthestateorterritoryassociation,forpracticalassistancetobeprovidedtoacentreneedingsupporttoestablishormaintainimprovedprocedures,forexample,settingup‘buddy’supportwhereanestablishedcentrewithmoreresourcesmayprovideassistanceandguidancetoanewerorlessresourcedorexperiencedlawyerorcentre
• inthemostseriouscaseswhereasystemicerrorisnotrectifiedovertime,ensuringthestateorterritoryassociationand/orthePIINetworkisawareofanyissuethatmayimpactuponthatcentre’songoinginclusionintheNationalPIIScheme.
Confidentiality
3.5.17 InformationthatisspecifictoaparticularcentrethatisacquiredorexchangedintheadministrationofthePIISchememustgenerallybetreatedasconfidentialtotherelevantPIIrepresentative,stateorterritoryPIIcommitteeorNationalPIINetworkorNACLC(asapplicable)andiscommunicatedonlyonaneed-to-knowbasis.Wherethereisseriousandongoingnon-compliancethePIIrepresentativeand/orcommitteemayhavetoraisethematteronaneed-to-knowbasiswiththestateorterritoryassociation,thePIINetworkand/orNACLC.
3.5.18 ThisappliesalsotodiscussionsbetweenaPIIrepresentativeandaResponsiblePersonaboutaparticularissueornotification/claim.
Accountability
3.5.19 ThePIIrepresentativeisaccountabletothestateandterritoryassociationthatappointedorelectedthemandalsototheNationalPIINetworkandNACLC.Seeappendixeforfurtherinformationontheframework,rolesandresponsibilitiesofPIIrepresentatives.
ConflictofinterestofPIIrepresentative
3.5.20 WherethePIIrepresentativeisfacedwithapossibleconflictofinterest,forexample,wheretheyareassistingwithanotificationthatinvolvestheirowncentreoracentrewheretheywerepreviouslyemployedorhadvolunteerinvolvement,theyshouldidentifytheiractualorpotentialconflictofinterest,andrefertherequestforadviceorassistancetoaPIIrepresentativeofanotherstateorterritory.
responsibleperson3.5.21 thisisaMandatoryStandard.Eachcentremustappoint,inwriting,atleastone
ResponsiblePersonandadvisetheirstateorterritoryCLCassociationandtheirPIIrepresentativeofthenameofthispersonandalsoofanychangeinthisappointmentwithin14daysofsuchchange.
3.5.22 TheResponsiblePersonisappointedbytheircentreusuallybyitsManagementCommitteeorBoard.SomelargercentresmaychoosetohavemorethanoneResponsiblePerson.
3.5.23 TheResponsiblePersonshouldbeacentreemployeewhoisalawyerwithaprincipalpractisingcertificateorunrestrictedpractisingcertificate(howeverdescribed).Injurisdictionswherethelegalprofessionlawsrequiretheappointmentofaprincipalsolicitor,thecentreshallappointthatpersonastheResponsiblePerson.Wherethereisnosuchlegislativerequirement,themanagingorseniorlawyeremployedbythecentreshouldbeappointedastheResponsiblePerson.Insomesituations,forexamplewhereacentreisunabletoemployaprincipalorseniorsolicitorforaperiodoratall,thecentrecannegotiatewith
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theirstateorterritoryPIIrepresentative,togetherwiththestateorterritoryCLCassociation,toapproveanalternativearrangementthatcomplieswiththerelevantlegalprofessionlegislation.Forexample,wherenecessary,andprovidedapprovalisgiven,acentreemployeewhoisajuniorlawyerorasuitablyexperiencedandtrainedworkersuchasacoordinatorcouldbeappointedastheResponsiblePersonandaNominatedPerson(forexample,alawyerfromanothercentre,alocalfirmorfromthecentre’sManagementCommittee)isappointedtosupervisethepractice.(SeeNominatedPersonbelow).Thisisnotanoptimalarrangementandshouldbetemporary.
Role
3.5.24 TheroleoftheResponsiblePersonincludes:
• ensuringthattheGuideisimplementedwithinthecentreincludingwithinanyspecialist,auspicedorhostedservice,programorproject(see7.10)
• beingawareofandensuringcompliancewith,thecontractualrequirementsofthePIIPolicy
• developingandimplementingpoliciesandprocedurestogiveeffecttotheMandatoryStandardsintheGuideandsuchofitsrecommendedproceduresandgoodpracticesasarepracticablypossible,includingensuringsuitablebriefingandinformationisprovidedatinductionofstaffandvolunteers
• keepingincontactwiththePIIrepresentativetoensurethattheyareawareofanyprofessionalindemnityinsuranceandlegalpracticeriskmanagementissuespossiblyrelevanttoherorhiscentre,includingdiscussinganypotentialoractualnotifications
• liaisingwiththebroker/insurerinrelationtonotificationsandclaims
• takingoverallresponsibilityforthecentre’slegalandnon-legalpractice,includinginanyspecialist,auspicedorhostedservice,programorproject(see7.10)
• determininganappropriate,reasonablelevelofsupervisionrequiredbyeachworkerandvolunteerinthecentreandensuringthatsupervisionisprovidedby,whereverpracticable,directlysupervisingthepersonorwherenecessary,delegatingsupervisoryresponsibilitytoanotherResponsiblePersonoraNominatedPerson.SeeinparticularChs7&8,3.5.29-33and5.5.4-6
• ensuringthattheyoraNominatedPersoncheckallLegalAdviceandotherDiscreteAssistance(otherthanInformationorReferrals),DutyLawyerandOngoingAssistanceServicesperformedbyvolunteerlawyersandvolunteernon-lawyers,includinginanybranchofficeandanyspecialist,auspicedorhostedservice,programorproject(see7.10).WhereavolunteerisaNominatedPerson,hisorherlegalworkmustbecheckedbyaResponsiblePersonwhoisalawyerwithanunrestrictedpractisingcertificateorprincipalcertificate(howeverdescribed)orotheremployedlawyerwhohasanunrestrictedpractisingcertificate.Ifthisisnotpossible,thecentrewillneedtonegotiatewiththeirstateorterritoryPIIrepresentativeandCLCassociationtoobtainapprovalforanalternativearrangement.See7.2.7
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• ensuringthattheyoraNominatedPersoncheck,asaminimum,asignificantproportionoftheworkperformedbyemployednon-lawyers(includingsecondednon-lawyers),includinginanybranchofficeandanyspecialist,auspicedorhostedservice,programorproject.ThisincludestheLegalAdviceandNon-LegalSupportServices(DiscreteandOngoing)ofaNominatedPersonwhoisnotalawyer.See7.2.8
• ensuringthattheyoraNominatedPersoncheck,asaminimum,asampleofthedifferenttypesoflegalwork(forexample,LegalAdvice,LegalTask,RepresentationServices)performedbyemployedlawyers(includingsecondedlawyers),includinginanybranchofficeandanyspecialist,auspicedorhostedservice,programorprojectonaregular,frequentandrandombasis.Thisincludesthelegalornon-legalservicesworkoftheNominatedPerson/sthemselvesandalsothatoftheResponsiblePersonunlesstheResponsiblePersonistheprincipalorseniorsolicitoratthecentreandhasanunrestrictedpractisingcertificate.Seeinparticular7.2.8
• ensuringthatanyandeverystaffmemberorvolunteerprovidingServicesforIndividualshastimelyaccesstotheResponsiblePerson(ortheappropriateNominatedPerson)andisawareoftheproceduretobefollowedintheeventthattheResponsiblePerson(orNominatedPerson)isnotimmediatelyavailableandtheworkerisnotsureabouttheLegalAdviceorotherServicetobeprovidedorcourseofactiontobetaken.See7.2.11
• ensuringthattherecordingofinformationandfileandotherrecordmanagementcomplieswiththerequirementsofthisGuide,includingastoopeningandmaintainingfilesandclosing,archivinganddestructionoffiles.SeeinparticularChs7and8
• ensuringthatthecentremaintainsacomprehensivefilereviewsystem.Seeinparticular7.4
• ensuringthatallservicedatacollectionisaccurateandthatdatarecordsaresecure.SeeinparticularCh8
• ensuringthatallworkersandvolunteersatthecentrearefamiliarwiththerelevantprovisionsofthestateorterritorylawsregulatingtheirprofessionandthatallethical,contractual,otherlegalandprofessionalrequirementsandcodesofconductaremet.SeeinparticularChs5and6
• ensuringthatanyAdviceaboutmigrationissuesisprovidedonlybyaRegisteredMigrationAgent,whetherornotalawyerornonlawyer,andthattheAdviceisprovidedinaccordancewithrelevantcodesofconductandlegislation.See5.5.15,6.5.1
• ensuringthatanypersonpractisingasafinancialcounselloratthecentrecomplieswithanyprofessionalassociationcodesandsystemsofaccreditationthatapplyinthejurisdictionandmeetstheexemptionrequirementsspecifiedbyrelevantCommonwealthlegislation.See6.3
• monitoringandreviewingworkloadsandensuringinconsultationwiththecentre’smanagerandManagementCommitteethatthecentreismindfulofitsresourceandotherlimitsanddoesnottakeonmoreworkthanstaffcanhandlewellandwithoutinappropriatestrainonworkers.See7.3
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• takingresponsibilityforlegalandotherpracticemanagementandcentrepoliciesandproceduresthatinvolveorhaveaneffectonlegalpracticeriskmanagementand/ortheservicesandmatterscoveredbyprofessionalindemnityinsurance.TheResponsiblePersonwillensurethatthesepoliciesandprocedurestakeintoaccounttheparticularcircumstancesofthecentre’scommunity(geographicorofinterest)anditsclientsandpotentialclientsinordertoidentifyandavoidactualandpotentialrisksofconflictofinterest3.Thesepoliciesrelatenotonlytoservicedeliverybutalsotooperationalandadministrativematters,includingfileandrecordsmaintenance,accuracy,safetyandsecurity
• ensuringthatthecontentofanyCommunityLegalEducation(CLE)orCommunityEducation(CE)materialsandsessions,LawandLegalServiceReformmaterials,mediareleasesandotherpublicationsiscorrect,thatanyriskofdefamationhasbeenconsideredpriortopublicationandthatworkersandvolunteerswhospeaktothemediaordeliverCLEorCEsessionsareawareoftheissuesarounddefamationandotherrelevantlaws,andknowhowtominimisetheserisks.See7.6to7.9.
AbsenceoftheResponsiblePerson
3.5.25 WhentheResponsiblePersonisunabletofulfiltheroleforanysignificantperiodforwhateverreason,thecentremustmakearrangementsforanothersuitablyqualifiedandexperiencedpersontoberesponsibleforthecentre’scompliancewiththeGuide.Thisshouldbeacentreemployeewhoisalawyerwithanunrestrictedpractisingcertificate.Ifthisisnotpossible,thecentrewillneedtonegotiatewiththeirstateorterritoryPIIrepresentativetogetherwiththestateorterritoryCLCassociationandobtainapprovalforanalternativearrangement.Forexample,subjecttoapprovalandtocompliancewithrelevantlegalprofessionlaws,itmaybepossibleforanothercentreemployeeorotherperson(forexample,alocum,amemberoftheManagementCommittee,alawyerfromanothercentre)tobeappointedasatemporaryResponsiblePersonand,ifnecessary,toappointanappropriateNominatedPersontoundertakesomefunctions.
3.5.26 ThestateorterritoryPIIrepresentativemustbeadvisedofanychangeofpersonholdingthepositionofResponsiblePersonatacentre.IncaseswhereadditionalmentoringorsupportarrangementsneedtobeputinplacethenactioncanbetakentoachievethisthroughthestateorterritoryPIIrepresentativeorcommitteeandtheNationalPIINetwork.
Accountability
3.5.27 WhileaResponsiblePersonwhoistheprincipalsolicitorhasoverallresponsibilityandaccountabilityforthelegalpractice,theResponsiblePersonisusuallyanemployeeofthecentreandisaccountabletotheManagementCommitteeorBoardofthatcentre.Insomecasestheymaybesupervisedasanemployeebythecentre’scoordinator,buttheyarenotaccountableorreporttotheminrelationtothewaytheymanagethelegalpractice.IftheircentreisamemberoftheNationalPIIScheme,theyalsohavearesponsibilitytotheirstateorterritoryPIIrepresentative(andcommittee,wherethereisone)andthroughthatrepresentativetotheNationalPIINetwork.TheyalsohaveobligationstotheothermembersoftheNationalPIISchemeandtoNACLCastheprimaryInsuredandcontractingpartywiththeinsurer.TheResponsiblePersonmayconsult
3Thesepoliciesandproceduresandtheirimplementationareopentoscrutinybycross-checkersandthePIIrepresentative
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theirPIIrepresentativeastheyseefitandaccordingtotheirownjudgmentandwithouttheneedforpriorapprovalfromorconsultationwiththeirManagementCommitteeorcentrecoordinator,althoughtheResponsiblePersonshouldinformthempromptlywhenappropriate.Seealso3.5.38-40.
3.5.28 TheResponsiblePersonhasperhapsthemostcomplicatedsetofaccountabilityrequirementsandmustbalanceallappropriately.
Nominatedperson3.5.29 Thisisapositionthatsomecentreshaveduetothediversityofclientmattersor
centreservicesandprogramsand/ortheavailableexperienceandexpertiseattheparticularcentre.ANominatedPersonisappointedbytheResponsiblePersonandisaccountabletotheminthisrole.ANominatedPersonshouldbeacentreemployeewhoisalawyerwithsuitableexperienceandexpertisetoperformtherole/sdelegatedtothem.However,ifthisisnotpossible(forexamplebecauseofacentre’sresourceconstraintsorexpertiseneeds),anon-lawyerand/orvolunteermaybeappointedasaNominatedPersonprovided:
(a) intheopinionoftheResponsiblePerson,thepersonhassuitableexpertiseandexperiencetoproperlycarryouttheresponsibilitiesdelegatedtothem,and
(b)theResponsiblePersonnotifiestheirPIIrepresentativeandstateorterritoryCLCassociationinwritingoftheappointmentoftheperson,theresponsibilitiesdelegatedandtheexpertiseandexperienceofthepersonthatmakesthemsuitabletoperformthoseroles.
3.5.30 TheappointmentofanyNominatedPersonmustbeinwritingandacentremustadvisetheirstateorterritoryCLCassociationandtheirPIIrepresentativewithin14daysofthenameoftheperson/sappointedasaNominatedPersonandalsoofanychangeintheirposition.
3.5.31 TheResponsiblePersonmustmakeclearinwritingwhenappointingtheNominatedPersonthenatureandextentoftheresponsibilitiesdelegated.Forexample,theNominatedPersonmaybedelegatedgeneralsupervisoryresponsibilityorresponsibilityoveraparticularsubjectareaofthecentre’spracticeoraparticularadvicerosteroroutreachservice.ItisessentialthattheResponsiblePersonmakecleartotheNominatedPersonthenatureofthetasksexpectedinperformingtheirrole,forexample,checkingadvice,signingcorrespondence,supervisingfileworkandsoon,andanytasksthattheyarenotauthorisedtoundertakeandwhohasresponsibilityforthose.
Role
3.5.32 TheNominatedPerson’sroledependsupontheresponsibilitiesdelegated.MostcommonlyitwillbetosupervisetheLegalAdviceorotherDiscreteAssistancegivenand/orotherworkundertakeninthepracticeorintheirparticularacknowledgedareaofexpertiseinthecentre’spractice.Theywillhavebeen‘nominated’orrecognisedbytheResponsiblePersonasappropriatelyexperiencedandexperttobeabletosuperviseothers’workinoneormoredesignatedareas.Forexample,anexperiencedconsumercreditlawyeratthecentremaybeappointedtosupervisethecentre’sworkinthisarea.Or,providedthestateorterritoryassociationandPIIrepresentativehavebeennotified,asoutlinedabove,anexperienced(non-lawyer)tenancyadvocatemaybeappointedastheNominatedPersonandbegiventhedelegatedresponsibilityforsupervisingtheworkofothertenancyworkers,orindeedthetenancyworkofallworkers,includingalawyerwhomaynotspecialiseinthatarea.
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Accountability
3.5.33 TheNominatedPersonisdirectlyresponsible,inthisrole,totheResponsiblePerson.ItshouldbenotedthattheResponsiblePersonisstillultimatelyresponsibleforandaccountableforthelegalpracticenotwithstandingtheappointmentofaNominatedPerson.AllNominatedPersonsofacentremustbeavailableforthecentre’sannualcross-checkandtakepartinaninterviewasapartofthecross-checkprocess.SeeCh9.
Cross-checkerRole
3.5.34 TheroleofaprincipalsolicitororotherResponsiblePersonperformingthefunctionofcross-checkerincludes:
• conductingcross-checksinaccordancewiththeGuideandinsuchawayastopromoteconsistentriskmanagementimplementationoftheMandatoryStandardsoftheGuideandprocessesandrequirementsoftheNationalPIIScheme,organisationalsupport,collegiaterespectandprofessionalismthroughoutthesector
• reportingasrequiredtothePIIrepresentativeand/orPIIcommittee
• respectingconfidentiality,asevidencedbysigningandrespectinganundertakingontheCross-checkQuestionnairethatanyclientandcentreinformationobtainedduringthecross-checkprocesswillbekeptconfidentialwithintheNationalPIISchemeadministeredatthestateorterritorylevel.
SeeCh9andappendixD.
thecentre3.5.35 ExistingcentresalsohaveakeyroleintheSchemeandinriskmanagement.
Centrescontributetothesectorthroughtheirdailyservicedeliveryandtheirabilitytomaintainandconsolidatethegoodwillandreputationassociatedwiththeworkofcentres.Longerestablishedandbetterresourcedcentrescanplayaleadershipandmentoring/buddyroleforneworlessresourcedcentres–guidingandsupportingtheminimprovingasgood-practicecentres.Communitylegalcentressharetheircollectivewisdomwiththeirpeersandactivelyfostergoodpracticeamongnewcentres.
3.5.36 NACLCandthestateandterritoryassociationsbelievethattogetherwithindividualcentrestheyhaveasharedresponsibilityto:
• ensurethebestriskmanagementpoliciesandpracticesoperatewithincentres
• maintainaneffectiveandaffordableinsuranceschemeforallcentres,fortheprotectionofcentreclients,thecentresthemselves,andtheirworkers.
ThesegoalscanonlybeachievedwhereallmembersintheSchemeacttokeepthatSchemeintact.
Role
3.5.37 Anindividualcentremust:
• supportcentrestaffandvolunteersintheirworktoensurethattheycomplywiththeGuide’sMandatoryStandardsor,intheeventthatitisnotpossibletocomplywithoneormorestandards,contactthePIIrepresentativewithoutdelaytodiscusstheissueandagreeappropriateactionstobetakentoensurecompliancewithinanagreedandassoonaspracticabletimeframe
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• examineanddevelopitsownpoliciesandprocedurestominimiseanyriskofclaims
• uponbecomingawareofaclaimorpotentialclaim(anyfact/sorcircumstance/sthatmightgiverisetoaclaim)againstit,assoonaspracticable,discusstheclaimorpotentialclaimwiththePIIrepresentativeandthenifnecessarynotifytheinsurersviathebrokerinwriting
• reviewthepracticeandtakesuchactionsasarenecessarytoensurethattheResponsiblePersoncananddoesmakefulldisclosuretotheinsurer,viathebroker.Thisobligationisongoingbutisparticularlyimportantatthetimeofsubmittinganapplicationforrenewalandbetweenthattimeand30JuneeachyearwhenthePIIPolicyisrenewed(andanewpolicycomesintoeffect).Failuretonotifytheinsurersofaclaimorpotentialclaimassoonaspossibleafterbecomingawareofitandwithinthe(annual)periodofthePolicymayaffectthecoverorextentofthecoveravailableandmayresultintheinsurersrefusingtopaysomeoralloftheclaim.See4.7
• appointaResponsiblePersonwhowillensurethattheGuideisimplementedandprovidethatpersonwiththesupportandresourcestodoso.See3.5.21-28
• recogniseandrespecttheprofessionalobligationsofitslawyers(see3.5.38below)andotherworkers,forexample,socialworkers,andfinancialcounsellors
• havewrittenguidelinesaboutthetypeofwork(LegalAdviceandotherDiscreteAssistanceandOngoingServices4,aswellasServicesfortheCommunitysuchasCommunityLegalEducationandLawandLegalServicesReform)theywill,andwillnot,takeon.See8.1
• ensurethatallworkersandManagementCommitteemembersarefamiliarwiththeseguidelines
• developandmaintainprocedurestoensurethatthecentrecomplieswiththeguidelines
• participateinthecross-checksconductedeachyearandcomplywiththeprocessessetoutintheCross-checkQuestionnaire(seeappendixD).
• participateinanymandatorymeetingsandtrainingandinductionactivitiesundertakenbythePIIcommitteeorthePIINetwork.CentresarestronglyencouragedtotakeadvantageofanyotherPIItrainingopportunities.
relationshipbetweencentremanagementandlawyers3.5.38 Therelationshipbetweencentremanagement(ManagementCommitteeand/
oremployedmanagers)andcentrelawyerscansometimesgiverisetoconfusionandbeapointoftension5.Alawyer’sprofessionalconductobligationsarenotoverriddenbytheiremploymentobligations.Acentreemployershouldnotdirectanemployeesolicitortoactinamannerthatiscontrarytotheirprofessionalobligations(forexample,breachingclientconfidentialityorbreachingtheirdutytoavoidconflictsofinterest).
3.5.39 Inpractice,issuesofconflictmayarisebetweencentrelawyersandtheirmanagersininterpretingthelawyers’professionalobligations.Forexample:
4InrelationtotheprovisionofOngoingServices,theguidelinesshouldspecifytheamountorlevelofassistancethatwillbeprovidedtoclients,andthecriteria,prioritiesorconditionsifany.
5Notethatothercentrestaff,suchassocialworkers,mayhavesimilarprofessionalobligationsandresponsibilities.Insuchcircumstancessimilarprinciplesshouldbeapplied.
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• managementmaynotunderstandthelegalprofessionalobligationsthatbindlawyersandmayexpectordirectthemtoactinawaythatcouldconflictwiththoseobligationslawyersmaytakeanoverlyrestrictiveviewoftheirobligationsorseektotakeadvantageofanobligation(suchaspractisingwithdueskillanddiligence)toachieveapreferredoutcome,forexamplenotpractisinginanareaoflawthattheydonotenjoy.
3.5.40 Inordertoresolvepotentialpointsofconfusionandtensionitisrecommendedthat:
• thecentreclearlyunderstandstheprofessionalobligationsandresponsibilitiesoflawyersandonlyusesmanagementprocessesthatareconsistentwiththem.Forexample,ifalawyerdoesnothavesufficientskillsandexperiencetocompetentlypractiseinanareaoflawusuallyundertakenbythecentre,requiringthemtopractiseinthatareamaybreachthelawyer’sprofessionalobligations.However,insteadofthelawyersimplynotpractisinginthearea,thecentremaybeabletolegitimatelyrequirethelawyertotakestepstoobtainthenecessarycompetency,throughprofessionaldevelopmentorthroughappropriatesupervisionormentoringarrangedbythecentrethecentresupportslawyerstomeettheirprofessionalobligationsbyencouragingthemtoliaise,independentlyofmanagementifdesired,withprofessionalsupportprovidedthroughrespectiveprofessionalassociationsandthePIIrepresentativesthecentreutilisestheprofessionalstandardssupportsoftheirrelevantprofessionalassociationsand/ortheirPIIrepresentativestoclarifyissuesofconcern.
Clientsandpotentialclients3.5.41 Ariskmanagementapproachisaclient-focusedapproach.Diligentapplicationof
soundriskmanagementstrategiesbyacentremeansthataclientislesslikelytosufferdamagefromwrongadviceoranyothermistakeoroversight.HavinganappropriatePIIpolicyinplaceandcomplyingwithitsrequirementsmeansthataclientcanbeatleastcompensatedfinanciallyforanylosscausedbynegligence,andengendersconfidenceamongclientcommunities–thecentre’spotentialclients.
Fundingbodies3.5.42 Fundingbodiesareofcourseveryconcernedwithriskminimisationin
organisationsthattheyfund,andwithensuringqualityservicedelivery.Theirownaccountabilityrequirementsareoftenreflectedinfundingagreementsandinprogramstandardsorguidelines.Centresshouldhaveproceduresinplacetoensurethattheycomplywithanysuchrequirements.
3.6 Decision-makinganddisputeresolutionDecision-makingprinciples
3.6.1 TherearealargenumberandwiderangeofdecisionsthataremadeinimplementingtheGuide.ItisimportanttonotethatNACLCandtheNationalPIINetworkarecommittedtoimplementingtheNationalPIISchemeinanorganisationaldevelopmentandsupportiveframework,whilemaintaininghighprofessionalstandards.Alldecisionsaremadewithinaframeworkthatisintendedtobeconsultativeandcooperative.
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3.6.2 Alldecision-makingundertheGuidewillbeopenandfair.Itisenvisagedthatdecision-makingbytheNationalandstateorterritoryPIINetworkswillgenerallybedonebyconsensus.
3.6.3 Responsibilityforday-to-dayimplementationoftheGuidewithinacentrerestswiththecentre’sResponsiblePerson,whoisinmostcasesthePrincipal/SeniorSolicitor:see3.5.21-28above.Thisresponsibilityincludesensuringthatallworkersandvolunteersinthecentrearefamiliarwith,andcomplywith,allethical,contractual,andotherlegalandprofessionalrequirementsandcodesofconduct.BothmanagementofthecentreandtheScheme’sadministratorsmustrespecttheResponsiblePerson’sresponsibilityandrole.TheGuideexplicitlyrecognisesasaMandatoryStandarditselfthatResponsiblePersonsmustcomplywithanyrelevantstateorterritorylawandlegalprofessionobligations.
3.6.4 TheGuideprescribesminimumMandatoryStandardsandrecognisesthediscretionthatresidesinResponsiblePersonstodecidehowtheircentrewilleffectcompliancewiththosestandards,unlessthestandarditselfspecifiesminimumessentialmeasures.Inaddition,theResponsiblePersonmaydecidetoadopt(consistent)riskmanagementmeasuresadditionaltothoseintheMandatoryStandards.Decision-makingundertheGuideshouldtothegreatestextentpossiblerespecttheautonomyofindividualcentresandtheirResponsiblePersons.
3.6.5 Otherconsiderationsrelevanttodecision-makingundertheGuideinclude:
• itisanationalschemeandneedstobeadministeredconsistentlyandfairlyitisariskminimisationschemeandriskcannotbecompletelyavoided
• centresarecommittedtoensuringequitableaccesstojusticeandrecognisetheimportanceofendeavouringtoprovideservicestopeoplewhowouldotherwisenothavethem
• lawreformandpolicyworkareintegraltotheservicesandoperationsofCLCs
• thediversityofcentresasorganisations,intheirformsofservicedelivery,operatingcontexts,targetgroupsetc,mustberecognisedandtheSchemeapplied,asfarasispracticable,toallowforandsupportthisdiversity
• insomecasesthecentreistheonlyserviceprovideravailabletotheindividualinthatarea
• thelegalprofessionrequirementsandcaselawweredevelopedbasedonconsiderationonlyofprivatelawfirmsoperatinginquitedifferentcontexts.Intheabsenceofclearrulesonsomesituationsthatoccurincentrelawpractices(intheirmanyvariations,andthatgenerallyprovideother,non-legal,relatedServices),theGuideattemptstoprovidearigorousandlegallycompliantbutworkablesetofstandardsforcentreservicesinthecommunitylegalassistanceservicescontext
• thelawisnotalwaysclearonsomeissuesandisopentodifferentinterpretations.
Issuesofinterpretationand/ornationallyconsistentapplication3.6.6 Fromtimetotimeissuesarisethatraiseanimportantquestionofinterpretation
oftheGuideorthePIIPolicy,and/orthenationallyconsistentapplicationorimplementationoftheGuide.ItisimportanttothesuccessoftheNationalPIISchemethatthesekindsofissuesareconsideredatanationallevel–whetherornotthereisa‘dispute’aboutthem.Resolvingandclarifyingsuchissueswhentheyarisemayhelptoavoidinconsistentandpotentiallyunfairimplementation
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oftheMandatoryStandardsanddisputesoccurring.So,whereaPIIrepresentative,acentre,acentre’sResponsiblePerson,astateorterritoryPIIcommitteeorstateorterritoryassociation–orNACLCitself-considersthattheremaybesuchanissue,theyshouldbringtheissuetotheNationalPIINetworkassoonaspossiblefordiscussionandresolution.SuchmatterswillberesolvedbytheNationalPIINetworkorbytheNACLCBoard(oritsdelegate,forexample,theCEO)whereappropriate,forexample,ifthereisasignificantdisagreementamongthemembersoftheNationalPIINetwork,orifdeterminationoftheissueconcernsasignificantpolicyissueormayhavefinancialconsequencesfortheScheme/NACLC.Seealso3.6.10below.
Disputeresolution3.6.7 Giventhegreatdiversityofservicesandoperatingcontextsaswellasthe
complexityofmanyofthetopicsdealtwithinthisGuide,inevitablytherewillbesomedisagreementsovertheapplicationoftheGuide.Inpracticemostdisagreementsareresolvedthroughdiscussionandnegotiation.Wherethisdoesn’twork,thereneedstobeaclearprocessforresolvingdisputes.
3.6.8 ThisGuideprovidesfordecisionstobemadeonarangeofmattersthatincludedecisions:
• thatinvolveanimportantquestionofinterpretationoftheGuideorthePIIPolicyand/orthenationallyconsistentapplicationorimplementationoftheGuide:seeinparticularDisputeResolutionProcedure1below
• torefuseacentre’sapplicationtojointheNationalPIIScheme:seeDisputeResolutionProcedures(1)-(3)below
• toterminateornotrenewacentre’sparticipationintheScheme6becauseofseriousandongoingnon-compliancewiththeGuide:seeDisputeResolutionProcedures(1)-(3)and3.6.10-24below
• torequireacentretotakespecifiedactiontoremedybreachesoftheGuidewithinacertaintimeframe:seeDisputeResolutionProcedures(1)-(3)and3.6.10-24below
• torefusetoapproveaninformationbarrierproposedbyacentrethatisaprogramwithinamulti-programagency:see6.7.76andDisputeResolutionProcedures(1)and(3)below
• torefusetoapprovetheappointmentofaResponsiblePersonwhodoesnothaveanunrestrictedpractisingcertificateand/orisnotalawyeremployedbythecentre:see3.5.23,3.5.25andDisputeResolutionProcedures(1)and(3)below.
6Acentre’sparticipationinthePIISchemealsoreliesonthecentre’smembershipofitsstateorterritoryCLCassociation.AsidefromseriousandongoingnoncompliancewiththeGuide,otherreasonsforwhichacentremaybeexcludedfromstateorterritoryCLCassociationmembershipareoutsidethescopeofthisGuide.
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3.6.9 Inpractice,manysuchdecisions,especiallyadecisiontoterminateacentre’sparticipationintheScheme,willinvolveanumberofpreliminaryfindingsbeingmadealongthewaytomakingthefinaldecision.Forthisreasonthedisputeresolutionproceduresbelowidentifytherelevantdecisionmakeraswellasanyrequirementsfordifferenttypesor‘stages’ofdecisions.
DISpUtereSOLUtIONprOCeDUre1–formattersconcerninganimportantquestionofinterpretationoftheGuideorthepIIpolicyand/orthenationallyconsistentapplicationorimplementationoftheGuide
3.6.10 WhereadisputeinvolvesanimportantquestionofinterpretationoftheGuideorthePIIPolicyand/orthenationallyconsistentapplicationorimplementationoftheGuide,itmaybereferredtotheNationalPIINetworkbyacentre7affectedand/orbytheResponsiblePersonofacentreaffected,byaPIIrepresentative,bytherelevantstateorterritoryPIIcommitteeorCLCassociationand/orbyNACLC.ThePIINetworkwillattempttoresolvemattersbyconsensusbutifnecessarymayvoteonamatter,inwhichcase,itisdecidedbyasimplemajority.Wheretheaffectedcentre,thecentre’sResponsiblePerson,aPIIrepresentative,stateorterritoryPIIcommitteeorassociationorNACLCdisagreeswiththeNetwork’sdecision,itmayrequestareviewbytheNACLCBoard,whichisthefinaldecision-maker.MattersgoingtotheBoardmustbeaccompaniedbyareportand/orrecommendationsfromthePIINetworkwhereverpracticable.TheNACLCBoardwilldecidethematterandmaydecidetoreferthedisputetoarelevantstateorterritorybodyfordecision.Seealso3.6.6.
DISpUtereSOLUtIONprOCeDUre2–formattersconcerningadecisionofapIIrepresentativeotherthanadecisiontowhichDisputeresolutionprocedure1applies
3.6.11 AdisputeconcerningadecisionofaPIIrepresentative,otherthanadecisiontowhichDisputeResolutionProcedure1applies,canbereferredtothestateorterritoryPIIcommittee(orequivalentbody)ifthereisone,andifitisnotresolvedthereorifthereisnosuchcommittee,totheManagementCommittee/Boardoftherelevantstateorterritoryassociationbythecentre8affectedand/orbytheResponsiblePersonofacentreaffectedoramemberoftheNationalPIINetwork.Ifthecentreaffected,thecentre’sResponsiblePersonoramemberoftheNationalPIINetworkdisagreeswiththedecisionmade,theycanreferthedisputetotheNationalPIINetwork.Ifthecentre,thecentre’sResponsiblePersonoramemberofthePIINetworkdisagreeswiththeNetwork’sdecision,itmayrequestareviewbytheNACLCBoard,whichisthefinaldecision-maker.Seethedetaileddiscussionofthisprocessat3.6.13-25below.
DISpUtereSOLUtIONprOCeDUre3–formattersconcerningadecisionofastateorterritoryCLCassociation
3.6.12 Adisputeconcerningadecisionofastateorterritoryassociation(whetherornotmadejointlyorinconsultationwiththePIIrepresentative)canbereferred9tothe
7Whereadisputeisreferredby‘acentre’ratherthanbyacentre’sResponsiblePerson,thePIINetwork/committee/associationmustinformthecentre’sResponsiblePersonandrequesttheircomments.
8Ibid. 9Ibid.
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NationalPIINetwork.Ifthestateorterritoryassociation,theaffectedcentre,thecentre’sResponsiblePersonoramemberoftheNationalPIINetworkdisagreeswiththeNetwork’sdecision,itmayrequestareviewbytheNACLCBoard,whichisthefinaldecision-maker.Seealsothedetaileddiscussionbelow.
example: non-compliance and the process of dispute resolution
3.6.13 Thecross-checkprocesswillidentifyanybreachesoftheGuide’sMandatoryStandards;itshouldspecifytheactionsrequiredtoaddresseachbreach,andindicateatimeframeforeachrequiredaction.Inpractice,remedialactionandtimeframesareusuallydiscussedandagreedbetweenthecentreandthecross-checkerand/orPIIrepresentative.Whereacentrehasactivelybeenworkingtowardsaddressingtheissuesraised,buthasnotbeenabletocompleteallactionswithinthespecifiedtimeframes,theyshouldnotifythePIIrepresentativeinadvanceoftherelevantduedate,reportonprogressandanyissuesthathavepreventedthemfromcompletingtheagreedactions,anddiscusswhetheranothertimeframecanbeagreed.WherethecentreandPIIrepresentativehavebeenunabletoagreeonanaction/sortimeframe/s,thePIIrepresentativemayimposeanactionplanincludingdeadlinesonthecentre.
3.6.14 ConsiderationstobetakenintoaccountbyaPIIrepresentativeindecidingwhatremedialactionshouldbetakenandwhatthetimeframeforsuchactionshouldbe,include:thoseat3.6.3-5;whetherthefailuretocomplybreachesanylaworprofessionalcode;thelevelofriskcausedbythebreach;andtheparticularcircumstancesofthecentre(forexample,resources,relevanteffectoflocation).
3.6.15 MinorandevensomemoreimportantfailuresbyacentretocomplywithMandatoryStandardsintheGuide-wherethereisnobreachofthelawandithasbeenassessedbythePIIrepresentativeorNationalPIINetworkthatthereisnoorverylowriskasaresultofthefailure-maybepermittedforsomeperiod,subjecttomonitoringbythePIIrepresentativeandacommitmentbythecentretoaddressandresolvethebreachif,orassoonas,itispracticable.
3.6.16 Alessresourcedcentreand/oroneoperatingwhereotherservicesarenotavailable,ismorelikelytobegivenmoretimetorectifythebreach–solongasthecentrehastakenallactionpossibletominimiseanyriskandisaddressingtheissuesraisedasagreedwiththeirstateorterritoryPIIrepresentative.
3.6.17 Seriousongoingnon-compliancewiththeMandatoryStandardsoftheGuidemayleadultimatelytoexclusionfromtheNationalPIIPolicyandScheme.Thiswillonlyoccurifacentrehasfailedtotakeappropriateactionafterreasonablenotice.Whatconstitutesreasonablenoticewilldependontheseriousnessoftherisk,amongotherconsiderations.
3.6.18 Ifacentrefailstotakeactionrequiredofitinthenotifiedtimeframes,itmaybeputonnoticebythePIIrepresentativethatitwillbereferredtothestateorterritoryPIIcommittee(orequivalent)orifthereisnosuchcommittee,totheManagementCommittee/BoardofthestateorterritoryCLCassociationforconsiderationastotheirviewaboutwhetherthecentreshouldbeexcludedfromtheScheme10.Itisappropriatethatthesemattersgointhefirstinstancetothestatebodiesbecausetheyaremostfamiliarwiththeparticularserviceanditscontext,andhenceinthebestpositiontoensurethatrelevantmattersareidentifiedandtakenintoaccount.
10NotethatanyissueconcerninganimportantquestionofinterpretationoftheGuideortheInsurancePolicy,and/orthenationallyconsistentapplicationorimplementationoftheGuide,ideallywillhavebeenresolvedbytheNationalPIINetworkand/ortheNACLCBoardbeforeitisappliedtoaparticularcentre.See3.6.6.
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3.6.19 ItisimportanttorecognisethatstateandterritoryPIIrepresentativesareappointedbystateandterritoryassociationsandasaresulthavesomeaccountabilitytothosestateandterritoryassociations.Theyare,however,membersoftheNationalPIINetwork,anditisthatbodyandNACLCwhichformallyadministertheScheme.ThestateandterritoryPIIrepresentativesarechargedwiththestate-basedadministrationoftheSchemeandimplementingtheGuide’sMandatoryStandardsconsistentwiththeNationalPIIScheme(and,ofcourse,incompliancewithanyapplicablelocallaw).FormoredetailontheroleoftheNationalPIINetworkandthestateandterritoryPIIrepresentatives,see3.5.6-8and3.5.11.
3.6.20 Whenamatterisnotresolvedatthestateorterritorylevel,thecentre,thecentre’sResponsiblePersonoramemberoftheNationalPIINetworkcantakeittothenationallevel,inthefirstinstancetotheNationalPIINetwork.ItispreferablethatmattersarebroughttotheNationalPIINetworkbytherelevantstateorterritoryPIIrepresentative,whetheritisattherequestofthecentre,itsResponsiblePersonortherepresentative,howeverifforsomereasonthecentreorResponsiblePersonwishestodosoitself,itmaysubmitarequestforconsiderationtotheNationalPIINetworkbyemailtotheChairoftheNetwork,withacopytotheNACLCstaffmemberontheNetwork(forexample,theInsurancesCoordinator).Inanyevent,thePIIrepresentativeandthecentre,includingtheResponsiblePerson,willhavetheopportunitytosubmitmaterial.
3.6.21 OncetheNationalPIINetworkdiscussesandformsaviewaboutthecase,theNetworkwillcommunicatethatviewtothecentre.Usuallythiswillresolvethematter.
3.6.22 If,however,thecentre,thecentre’sResponsiblePersonoramemberofthePIINetworkdisagreeswiththedecision,andwishestotakethematterfurther,theymayrequestareviewbytheNACLCBoard.TheNACLCBoardgivesgreatweighttotheadviceoftheNationalPIINetwork,whichitrecognisesasanexpertadvisorybody.Itwillalsogiveweighttothefactthat,unlikethecross-checker/PIIrepresentative,Boardmembershavenothadthebenefitofseeingthecentre’soperationsthemselves.TheBoardwillalsobeconcernedwithensuringthattheSchemeandtheMandatoryStandardsareimplementedinanationallyconsistentway,asmuchasispracticallypossibleandappropriate,andconsistentwiththeprinciplesoftherevisedGuideandtheNationalPIIScheme,includingitsorganisationaldevelopment,soundprofessionalstandards,riskminimisationandaccesstojusticegoals.TheBoardwilltakeintoaccounttheconsiderationsoutlinedat3.6.3-5.
3.6.23 TheNACLCBoardisthefinaldecision-makeranditsdecisionwillbecommunicatedtotheNationalPIINetworkandtothecentreanditsResponsiblePerson.
3.6.24 Itshouldbenotedthatifpracticablypossible,relevantfactualmaterialwillbeputtotheNationalPIINetworkand/orNACLCBoardwithoutthecentrebeingidentified.Whereverpossible,discussionsaboutissuesatparticularcentresincludingactionstobetakenarediscussedintheabstract,thatis,thecentre’sidentityisnotdisclosed.ThisisinkeepingwiththeconstructiveorganisationaldevelopmentfocusoftheScheme,whichrecognisesthatfrankdiscussionatthelocallevelisassistedbypreservingconfidentialitywhereverpossible.Itisnotalwayspossible,however,foracentre’sidentitytobekeptconfidential,especiallywherethecentre’sparticularlocation,servicesorothercircumstancesarerelevanttotheissuesfordetermination.
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3.6.25 Seriousandongoingnon-compliancewiththeGuide’sMandatoryStandardsmayalsoaffectacentre’saccreditationstatusandultimatelyitsmembershipoftherelevantstateorterritoryassociation,howevertheseareseparatedecisionsandprocesses:see1.5.
3.7 Mergers&amalgamations3.7.1 Atthetimeofpublication,therehasbeenanincreasedtrendtowardscentres
mergingoramalgamating11witheachother/otherorganisations.Inadditiontothemanylegal,governance,operationalandpracticalissuesarising,centresproceedingwithsuchacoursewillhaveanumberoflegalpracticemanagementissuestoconsiderandresolve.12Suchacentrewillneedtofullyconsiderallrequirementsandwouldbewisetoseekadviceonvariousaspects.13
3.7.2 ThisGuideonlyconsidersthekeylegalpracticerequirementsthatwillneedtobefulfilled.Someoftheprocessesinvolvedinmergingoramalgamatingcantaketimeandnotbeasstraightforwardastheymightinitiallyseem,socentresshouldplanaheadandidentifyandresolvealltheissuesearlyintheprocess.
Insurance3.7.3 Thenewcentre/entitywillneedtoensureithasPIIcover,andthismayneedtobe
confirmedbeforenotifyingthelegalregulatorofthemerger/acquisition.
3.7.4 WhereoneorallofthemergingcentresareinsuredundertheNationalPIIScheme,thecentresshouldnotifyNACLCoftheprospectivemerger/amalgamationassoonaspossible.Whereacompletelynewentityisbeingformed,thenewcentrewillneedtoapplyandbeaccepted,atleastinprinciple,tojointheCLCAssociation,andthenapplytojointheNationalPIISchemeasanewmember.Theywillthereforefirstneedto:
• ensuretheirmembershipstatuswiththerelevantstateorterritoryCLCAssociationisconfirmed(confirmationoffullmembershipmustbeprovidedtoNACLC)
• completeanewProposalformandPIISchemeapplicationforminrespectofthenewcentre/entity,andprovidethemtoNACLC.
Evenifabrandnewentityisnotbeingformed(i.e.anothercentreorcentresis/arebeingsubsumedbyanexistingcentre),thesestepsshouldstillbeundertakenfromapracticalperspectivetoensurethatallstakeholdersarefullyawareof
11Forexample,JusticeConnect’sNot-for-profitLawInformationHubprovidesanoverviewofthedifferencesbetweenmergersandamalgamations,identifyingthatamalgamationsareavailableto‘incorporatedassociationsbasedinthesamestateorterritory’,andtheprocessofamalgamatingismoresimpleandlessexpensivethanthatofmerging.Itisalsoidentifiedthatamalgamatingisnotanoptioninalljurisdictions.See:JusticeConnect,AmalgamationsandMergers,Not-for-profitLawInformationHub<http://www.nfplaw.org.au/amalgamationmergers>(accessed31January2017).
12JusticeConnect’sNot-for-profitLawInformationHubhasanumberofresourcesthatmayassistCLCsinconsideringandpreparingforamergeroramalgamation,includingsomestate-orterritory-specificinformationsheets.Seeinparticular:JusticeConnect,AmalgamationsandMergers,Not-for-profitLawInformationHub<http://www.nfplaw.org.au/amalgamationmergers>(accessed31January2017);JusticeConnect,WorkingWithOtherOrganisations(updatedJune2015)availableat:<http://www.nfplaw.org.au/sites/default/files/media/Working_with_other_organisations_2.pdf>(accessed31January2017);andJusticeConnect,Checklist:WorkingWithOtherOrganisations(updatedJune2015)availableat:<http://www.nfplaw.org.au/sites/default/files/media/Checklist_-_Working_with_other_organisations.pdf>(accessed31January2017).
13JusticeConnect’sNot-for-profitLawprogrammaybeabletoassistCLCswithadviceformattersinvolvingamalgamations,mergersorworkingwithotherorganisations,throughtheirtelephoneadviceserviceorareferralforprobonoassistance.See:JusticeConnect,LegalHelp<http://www.justiceconnect.org.au/nfpenquiry>(accessed31January2017).
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thechangestakingplace(oratleastanupdatedProposalformwillneedtobeprovidedreflectingthechangestotheexistinginsuredentities).
3.7.5 TheprospectiveResponsiblePersonofthenewcentre/entitywillneedtomeetwiththeirstateorterritoryPIIRepresentativetodiscussthearrangementsthatarebeingputinplacetoensurecompliancewiththeGuide,forexampleinrelationtoconflictcheckinganddatamerges.Itmaybenecessarytorunconflictchecksbeforethemergertoensurethatanypotentialoractualconflictsareidentifiedandthoseclientscontactedandreferredelsewherebeforetheclientinformationandrecords,andthelegalpractices,arecombined.
3.7.6 ThestateorterritoryPIIRepresentativemustbesatisfiedthatthenewentity/centrewillbecompliantwiththeGuidebeforeitcanbeinsuredundertheNationalPIIScheme.ThePIIRepresentativemustexpresslyconfirmthistoNACLCbeforeNACLCwillprovideitsinformationtothebrokerforinclusioninthePIISchemeandanyotherNACLCcoordinatedinsurances.Dependingonthecircumstancesandthetiminginrelationtothecross-checkcycle,thePIIRepresentativemaydeemitnecessaryandarequirementforinclusioninthePIISchemethatafollow-upcross-checkbeconductedonthenewcentre/entityinashorttimeaftermerger,forexample,atthree,fourorsixmonths.
3.7.7 Followingcompletionoftheabovesteps,NACLCwillpassontherelevantdetailsandformtotheinsurancebrokertoseekconfirmationfromtheinsurerofthecentre’sinclusionintheScheme/sand,dependingonthetimingofcommencementofthenewentity,newpremiumsmaybepayablebythecentre.
3.7.8 ThecentrewillalsohavetoupdateanyinsurancesheldbyitthatarenotarrangedbyNACLC,withtherelevantinsurancebroker/s,andtheprocessesmaydiffertothosewiththeNACLCschemes.
Run-offPIIcover
3.7.9 Foranyentity/iesthatarebeingclosedasaneffectofthemergeroramalgamation,run-offPIIcoverwillneedtobeinplace.See3.8.8-10and4.6.10.
Changingthelegalentityandnoticetolegalprofessionregulatorybodies
3.7.10 Someofthestepsinvolvedinchangingthelegalentityandnotifyingthestatelegalprofessionregulatorwillinclude:
• Registeringthenewpracticeanditsprincipal’sdetails
• Closingoffoldtrustaccountsandnotifyingwithappropriateforms–thisshouldbedonebeforetheotherlegalpractice/sareclosed(seealso3.8.12)
• Openingtrustaccountsforthenewentityandlodgingtheappropriateforms.Databasemergersandconflictsofinterest
Databasemergersandconflictsofinterest3.7.11 Mergingoramalgamatingcentreswillneedtoliaisewiththeirdatasystem
provider/hostandotherITprovidersregardingthemergerofdatabases(includingcleansingthedataandcheckingforandobtaininglistsofactualorpotentialconflictspriortoamalgamation).
3.7.12 Oncealistofconflictshasbeenobtained,thecentresmayhavetonotifysomecurrentclientsthattheyareunabletocontinuetoactforthem,andprovidesuitableReferrals.Thoseclientsthatwillcontinuetobeservicedbythenewcentre/entityshouldbeadvisedofthemerger/amalgamationandthenewnameofthelegalpracticeandanychangedcontactinformation.
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3.7.13 Centresmayneedtosetinplaceanuancedwaytoconsiderthepotentialforandlikelihoodofconflictstobeabletooptimisevulnerablecommunitymembers’accesstotheservice.ThebelowtableisbasedononethatwaspreparedforthreeVictoriancentreswhichallusedCLSISastheirdatasystem,andwhichmergedtoformonecentre,andisanexampleofanapproachthatmaybeuseful.ThetableidentifiesthetypesofquestionsthattheResponsiblePersonwillneedtoconsider.Itisimportanttonotethattheremaynotalwaysbeastraightforwardyes/noanswertothesequestions,andtheResponsiblePersonwillneedtodetermine,onacase-by-casebasis,whetherthecentrecanproceedwiththematter.
Criteria Considerationsforintakeworkers
howcouldwemanagethesituationbetter–determinedbyresponsibleperson
TheyarenotedonCLSISasOtherParty
Isthenamecommon?
Howlongagowasthelegalassistance?
Whatareaoflawwasthepreviouslegalassistance?
Isthepersonthatactedfortheclientstillattheservice?
Whatsortofassistanceisthecentrelikelytoofferinthatarea?Eg,wouldtheclientonlybeeligibleforanightserviceappointment
Canfurtherinformationconfirmingidentitybeobtained?
Ifitisafter7years,itislikelythefileoradvicehasbeendestroyed,butwillalsoneedtocheckonharddrivethattherearenoclientdocumentssaved
Isitanareathatfilesarerequiredtobekept?Eg,POA,Wills,anymatterforchildrenincluding:VOCAT
Isitanareaoflawmaterialtothenewmatter?Thismaybebroadeg,MVA,oldclient,newclientfamilyviolence,ormaybeissuesofeconomicabuse
Presumptionofassumedknowledgeamongstlawyers,rebuttalmaybethatthelawyernolongerattheservice
Wouldtherevealingofthatinformationreasonablybeassumedtoimpactonthepreviousclient?
Evenifprovidinglimitedassistance,considerationmuststillbegiventotheabovequestions
TheyarenotedonCLSISasRelatedParty
DoesthematterthattheyareseekingadviceabouthavetheoldclientasOtherParty?
Yes
No
Gothroughtheaboveconsiderations.
Mighttheinformationfromtheoldclientbereasonablyseenifrevealed,asdetrimentaltothatclient?
Aretherelargerpublicpolicyissuesinactingorcontinuingtoact?
Forexample,prioritisingvictimsoffamilyviolence–needtoensurethatwhenwedointakethatwearenotprovidingprioritytorespondents,forexampleensurethattheyareadvisedtheycanreceiveadvicefromthedutylawyersatcourt.
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3.8 Centreclosures3.8.1 Thissectionaimstoprovidesomeguidanceonsomekeylegalpractice
managementissuesthatwillneedtobeconsideredwhenacentreisceasingtooperate,howeveritdoesnotaddressalloftheissuesthatwillneedtobeaddressed,andcentresmustobtaintheirownadviceaboutwhatisrequiredtocloseacentre.
Dealingwithopenandclosedfiles3.8.2 Centresthatareceasingtooperatewillneedtoensurethattheyappropriately
handlebothopenandclosedfiles,observingthekeyrequirementthatclientconfidentialitybemaintainedevenaftertheclients’legalmattershaveconcluded.
Openfiles
3.8.3 Acentreceasingtooperatewillneedtoadviseallcurrentclientsofthecentreclosure,andshouldoffertoreferthemtoanothersuitableservice.Aclient’sconsent/instructionsshouldbeobtainedbeforeaReferralismade,includingconsentfortheirfilesanddocumentstobeprovidedtotheotherlegalpractice(aftertheotherlegalpracticehasperformedaconflictofinterestcheckandhasconfirmedtheycanaccepttheclientandmatter).Centresshouldcheckanyrelevantprovisionsandrequirementsintheirjurisdiction’slegalprofessionrules14.
3.8.4 Thecentrewillalsoneedtocheckanyrequirementstochangeofficialrecordsandnotifybodiesaccordingly,forexamplewiththecourtwhereasolicitorfromthecentreistheSolicitorontheRecord,andwithotherparties’solicitorsifthecentreistheplaceforservice.Consentwillneedtobeobtainedtotransferanyclientmoneyheldintrusttoanotherlegalpracticeandprincipal.Wherefilesarebeingtransferredtoanotherservice,thecentremayneedtoconsiderandagreewiththeotherserviceonanyindemnityissues(forexample,willthenewservicetakefullresponsibilityforfiles,andwhen,orwilltheclosingcentreberesponsibleforworkuntiltransferdate).
Closedfilesandstorage
3.8.5 Whenceasingtooperate,centresshouldreviewallclosedfilestodeterminewhichfilescanbedestroyed15andwhichmustberetainedandarchived,aswellastoidentifyanyoriginaldocumentsthatneedtobereturnedtoclients.(Intheoryalloriginaldocumentswouldhavebeenreturnedtotheclientwhenthefilewasclosed,butthisisnotalwayspossiblewithlegalassistanceclients.)Thecentrewillneedtoarrangesuitablesecurestorageoffiles(whetherelectronic,hardcopy,oramix)inamannerthatdoesnotbreachclientconfidentialityandcomplieswithallrequirementsfortheretentionofclosedfiles:see8.14.
3.8.6 Whenacentrecloses,itisimportantthatclientfilesandrecordsremainaccessibleshouldaclaimbemadeagainstthePIIpolicyinrespectofthefileandshouldtheclientneedaccesstothefileforsomereason.Decisionsmadeaboutwhereandhowtostoretheclientfilesandrecordsshouldtaketheseissuesintoaccount.
3.8.7 Wherepracticable,thecentreshouldadvisetheformerclientsofthecentre’sclosureandofferforcopiesofthosepartsoftheclients’filesthattheyareabletorequestaccesstounderlegalandprofessionrequirementsintheirstateorterritoryand/ortheprivacyprinciplestobeprovidedtothem.Thecentremayneedtoseektheclients’consentinordertotransfertheirfilestoanotherentity
14Forexample,NSW&Vic:r.6,LegalProfessionUniformLegalPractice(Solicitors)Rules2015. 15See8.14.7-10.
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forstorage/archiving(unlessthishadalreadybeencoveredintheirclientretainer).Forexample,thecentremaybeabletoarrange,withtheclient’sconsent,forthestorageoffilestobewiththeirstateorterritoryCLCassociationand/orNACLC.
pIIrun-offcover3.8.8 Some,ifnotall,oftheapplicablelegalprofessionrulesrequirethatcentreshave
run-offinsurancecoverfortheirprofessionalliabilities.Forexample,theUniformGeneralRulesrequire16:
78(6) Professionalindemnityinsurancemustprovideindemnityfor run-offliabilitiesforaminimumof7yearsfrom:
(a)thedate(duringtheperiodofinsurance)thatthelawpracticeceasestopractise,or
(b)thedateofexpiryoftheperiodofinsurance,
ifthelawpracticeisnotcoveredfromtherelevantdatebyafurtherpolicythatcomplieswiththeseminimumstandards,includingtherequirementforrun-offcoverunderthissubrule.
Note.Professionalindemnityinsurancemaybeprovidedforbyaschemesuchasarun-offscheme.
3.8.9 ForcentrescoveredundertheNationalPIIScheme,run-offcoverisincludedfreeofchargeaslongastheSchemeisinoperation:see4.6.10.AcentrethatisclosingmustgivenoticeoftheclosureandtheeffectivedateinwritingtoNACLC,whowillconveythesedetailstotheinsurancebrokerandensurethattherun-offcoverisinplaceforthecentre.Currently,thecostoftherun-offcoverisincludedintheannualpremiumspaidtothebroker,sonofurtherpremiumswillbepayablebythecentrefortherun-offcover.
3.8.10 CentresthatarenotcoveredbytheNationalPIISchemewillneedtoensurethattheyhaveappropriaterun-offcoveravailablethatattheveryleastmatchestheirjurisdiction’srequirements(ifnotthefullsevenyearsormore).
Noticetolegalprofessionregulatorybodies3.8.11 Centresshouldalsocheckanyrequirementstheymayhavetonotifytheirlocal
legalprofessionregulatorybodyofthecentre’sclosure.Forexample,theUniformGeneralRulesrequirenoticetobeprovidedtothestateregulatorybodywithin14daysofthecessationofthelegalpractice17.Lawyersmayalsoneedtonotifythelocalregulatorybodyregardingchangestotheirparticularsandpractisingcertificaterequirements.Centresandlawyerswillneedtobeawareoftherequirementsintheirstateorterritory.
3.8.12 Thelegalprofessionrulesmayalsorequirenoticetothegiventothelocalregulatorybodythatthecentrewillceasetoholdtrustmoney(becauseitisceasingtoexistasalawpractice).18Centresshouldchecktherelevantrequirementsintheirstateorterritory.
Otherissues3.8.13 Thelegalpracticemayalsohaveanofficeaccountorotherfinancialarrangements
thatwillneedtobewrappedup,andotherinsurances,suchasAssociationLiabilityInsurance,thatwillneedtobecancelledandrun-offcoverarranged.
16NSW&Vic:r.78(6)LegalProfessionUniformGeneralRules2015. 17LegalProfessionUniformGeneralRules2015(NSW&Vic)r29. 18LegalProfessionUniformGeneralRules2015(NSW&Vic)r51.
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CHAPTER 4
Professional Indemnity Insurance and the National PII PolicyIn this chapter:4.1 Introduction 44
4.2 Risk management and the National PII Scheme 44 4.2.3 TheNationalPIIPolicy 44
4.2.6 Theapplicationprocess 45
4.3 The insurer 45 4.3.1 PacificIndemnityonbehalfofCGU 45
4.3.2 Thebroker 45
4.4 Things to know about the Policy 45 4.4.7 Claims-madepolicy 46
4.4.9 Policyadministration 47
4.4.10 Premiumcalculation 47
4.4.13 Excess 47
4.5 Top-up insurance 484.6 Some terms of the current Policy 49
4.6.4 Whoiscovered? 49
4.6.12 Whatiscovered? 51
4.6.17 Amountofcover 53
4.6.19 Periodofcover 53
4.6.21 AnnualPIIproposal(renewal) 53
4.6.24 Whatisn’tcovered? 54
4.7 Notifications and claims 55 4.7.1 Dutytonotify 55
4.7.18 Dutynottoadmitliabilty 60
4.7.21 Workingwiththeinsurer 60
4.7.22 Reserve 60
4.7.23 Subrogation 61
4.7.27 Claiminvestigationcosts 61
4.7.31 Finalisationofclaims 62
4.8 Complaints about insurance 62
4.9 Relationship with legal profession regulatory bodies 62
4.10 Double insurance 63
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4.1 Introduction4.1.1 TheNationalProfessionalIndemnityInsurancePolicy(NationalPIIPolicy)provides
insurancecovertothecentreforaspecifiedrangeoftypesofcivilliabilitytoanythirdparty.Theliabilitycanbeincurredbythecentreandanypersonwhoisorwasaprincipal,partner,director,employee,treasurer,secretary,administrativeassistant,consultant,contractor,agent,secondee,volunteer,student,orBoardorManagement/ExecutiveCommitteemember,intheconductofthecentre’s‘ProfessionalServices’,asdefinedinthePolicy.
4.1.2 ThisinsurancecoverisprovidedunderamasterPIIPolicynegotiatedatanationallevelbyNACLCforthebenefitofallfullmembercentreswhowishtoparticipate.EachparticipatingcentrecontributestothepaymentofonenationalpremiumandthetermsandconditionsofthePolicyarethesameforallcentres(savethatindividualcentresmaypayanadditionalpremiumforhighercover).
4.2 Risk management and the National PII Scheme4.2.1 Professionalindemnityinsuranceisariskmanagementstrategy.TheGuideisa
riskmanagementtoolandavaluablesourceofinformationthatprovidesallstaff,volunteersandManagementCommitteeswithinformationaboutPIIandrelatedriskmanagement.
4.2.2 TobeincludedintheNationalPIIScheme,eachcentreneedstobeafullmemberofastateorterritoryassociationofCLCsanddemonstratesatisfactorycompliancewiththeMandatoryStandardsintheGuide.Inordertosuccessfullyimplementtheserequirements,acommitmentisrequiredfromeachcentre’sManagementCommittee,theprincipalsolicitororotherResponsiblePerson,allotheremployees,bothlegalandnon-legal,andallcentrevolunteers.
The National PII Policy4.2.3 Until1988,eachCLCnegotiatedPIIindividuallywithabrokerandanunderwriter.
Duetoanomaliesbetweencentresinpolicies,coverageandpremiums,the1987NationalCLCConferencedecidedtodevelopanationalCLCindemnityschemeandthenationalPolicybeganin1988.Since2002ithasbeenwithCGU,andfrom2017thePolicyisissuedbyPacificIndemnityUnderwritingSolutionsonbehalfofCGU.ThePolicygenerallycoversabout 160operatingcentres.
4.2.4 MostcentrescurrentlychoosetoparticipateintheNationalPIISchemeandhavecoverundertheNationalPIIPolicy.Importantly,theSchemehasbeensuccessful–claimshavebeenfewandpremiumshavestayedrelativelylow.Otherbenefitshaveincluded:
• acementingofacooperativeandcollaborativeapproachbycentrestoriskmanagementandorganisationaldevelopment
• amechanismfortheearlyidentificationofareastoaddresstoreduceriskandprovidetrainingandsupportinresponse
• improvementsinservicedatarecordingandconflictchecking
• demonstratedsuccessinsector-ledselfregulationbyapeerreviewinitiativeaimedatqualityassuranceandorganisationaldevelopmentsupport.
4.2.5 AcopyofthecurrentNationalPIIPolicyWordingisatAppendix A19.TheSchedulethatformspartofthePolicyforthe2016-17policyperiodisatAppendix B.
19ThePolicyWordingandPolicyScheduleincludedwiththeGuideatpublicationarethosevalidforthe2017-18policyyear.
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ThePolicyScheduleisupdatedeachyear,andthePolicyWordingmayalsochangefromtimetotime–thecurrentversionsarealwaysmadeavailabletoparticipatingcentres,includingviatheNACLCwebsite.See4.6below.
The application process4.2.6 AcentrethatisafullmemberofastateorterritoryCLCassociationmayapply
tobeinsuredundertheNationalPIISchemeusingNACLC’sapplicationformandthePII‘Proposal’formontheNACLCwebsite(seeNACLCMembers’page).ThePIIsectionoftheProposalformwillneedtobecompletedbythecentre’sprincipalsolicitor.Oncecomplete,bothformsshouldbesenttoNACLC.
TherelevantstateorterritoryPIIrepresentativethenvisitsthecentreandusestheCross-check Questionnaire(seeAppendix D)toassessthecentre’scompliance,orforanewcentre,proposedarrangementsthatwillenableittocomply,withtheMandatoryStandardsintheGuide.ThePIIrepresentativethenadvisesthecentreandNACLCoftheresultofthisassessmentandoftheirrecommendationastothecentre’sinclusionornon-inclusionintheScheme.Whereadecisionismadetoincludethecentre,NACLCthenadvisesthebrokerandinsurer(andsendsintheProposalform)andnotifiesthecentreofthepremiumpayable.
4.2.7 TherenewalprocesscommencesinaboutFebruary/Marcheachyear.See4.6.21-24.
4.3 The insurerPacific Indemnity on behalf of CGU
4.3.1 PacificIndemnityUnderwritingSolutionsPtyLtd(AFSL480863)currentlyunderwritestheNationalPIIPolicyonbehalfofCGUInsuranceLimited(AFSL238291).DetailsofPacificIndemnitycanbefoundontheirwebsite–seewww.pacificindemnity.com.au.
The broker4.3.2 TheinsurancebrokeriscurrentlyMcDougallKellyMartinisInsurancePartners,
andthecurrentcontactdetailsareavailableontheMembers’PageoftheNACLCwebsite.Wheneverpossible,contactwiththeinsurershouldbeviathebroker.
4.3.3 AcentreshouldtalktoitsPIIrepresentativebeforecontactingthebrokerorinsurerinrelationtoanewnotification.Iftheycannotbecontactedandthematterisurgent,contactaPIIrepresentativefromanotherstateorterritory.IfthecentrecannotgetholdofaPIIrepresentativeanditjudgesthemattertobeurgent,thecentremaynotifythebrokerbutmustinformthePIIrepresentativeassoonaspossiblethereafter.See4.7.10-13.ContactdetailsforPIIrepresentativescanbeobtainedfromtheNACLCwebsite.
4.4 Things to know about the Policy4.4.1 TheNationalPIIPolicycoversthecentrewhereitisalegalentityorinsomecases
thatpartofthelegalentitywhichoperatesasaCLC,andanypersonwhoisorwasaprincipal,partner,director,employee,treasurer,secretary,administrativeassistant,consultant,contractor,agent,secondee,volunteer,student,orBoardorManagement/ExecutiveCommitteememberforaspecifiedrangeoftypesofcivilliabilitytoanythirdparty,incurredintheconductofthecentre’sProfessionalServices,asdefinedinthePolicy.See4.6 below.ThePolicyalsocoversthepastactsandomissionsofany(former)centre(anditsformeremployees,volunteersetc)thatwaspreviouslypartoftheSchemebuthasceasedtoexistoroperateorhasbeendisposedoformergedwithoracquiredbyanotherentity,provided
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thecentreislistedontheregister(maintainedbyNACLC)attachedtothePolicySchedule:see4.6.10-11below.
4.4.2 AllpeopleinvolvedwithacentreincludedinthisPIISchemeshouldbefamiliarwiththetypesofclaimscoveredbythePolicy.ThesearesetoutinthePolicywithanyamendmentsincorporatedintotherelevantyear’sSchedule.See4.6.12-16 below.ThePolicy,asamendedbytheSchedule,specificallyexcludessometypesofclaimsanditisimportantforcentrestaffandmanagementtobefamiliarwiththeseprovisions.See4.6.25-28 below.
4.4.3 BeingamemberoftheNationalPIISchemeentitlesallparticipatingcentres–fundedorun-funded,volunteerorpaidstaff–thesamecoverageandsupport,regardlessoftheirsizeorresources.
4.4.4 ThecurrentNationalPIIPolicyprovidescoverofupto$5millionforanyoneclaim,withanannualaggregateof$10millionforeachcentre.
4.4.5 Thereisan‘Excess’or‘Deductible’of$10,000(costsinclusive)applicabletoeachclaim,whichmeansthecentreisliableforthefirst$10,000towardsanyclaim’spaymentorcosts.NACLCmaintainsanExcessFund(see4.4.13-19 below)toassistcentresthatneedittomeetthecostofanexcesspayment.AnycentrewishingtoapplyforacontributionforpayingtheExcess,shouldcontacttheirPIIrepresentativeabouttheprocedure.
4.4.6 Thepolicyis‘renewed’(or,moreaccurately,anewpolicyistakenout)annuallybeforeeachyear’sinsurancecoverendson30June.Eachpolicyineachsuccessiveyearisaseparatepolicy,beginningonitsrespectiveinceptiondate.Thisissoeventhoughacentremayhavecontinuouscoverwiththeoneinsurer,andisrenewingyearafteryear.TobecoveredbythePolicy,anoperatingcentremustsubmitacompletedProposal(renewal)formeveryyear,usingtherequiredform,andtheinsurermusthaveacceptedthatProposalinorderforittobeoperative.Thisisnotnecessaryinrespectofcentresthatnolongerexistoroperateorthathavemergedwithorbeenacquiredbyanotherentity:see4.6.10-11below.Currentproceduresgarnerallnecessaryinformationtoallowthepolicyrenewaltooccurasseamlesslyaspossible,andcentreshaveanobligationtocooperatefullyintherenewalprocess.See4.6.21-24.
Claims-made policy4.4.7 ThePolicyisaclaims-madepolicywhichmeansthatthePolicythatappliesisthe
policyinforceatthetimewhenaclaimismade,ratherthanthepolicywhichisinforceatthetimethattheeventgivingrisetotheclaimoccurred.Onthisbasis,thePolicyrespondstoaclaimmadeduringthepolicyperiod.Itisimportanttounderstandthesemattersastheyarerelevanttocoverage(includingofclaimsarisingfrom‘KnownCircumstances’)andtheimportanceofpromptnotification(tothebroker/insurer)ofclaimsandpotentialclaims,asdescribedbelowandinmoredetailat4.7.
4.4.8 Tobecoveredbythepolicy,itiscriticalforeachcentretodiscloseanyactualclaims,andanyfact/sorcircumstance/sthatmightgiverisetoaclaim,assoonaspossibleandparticularlybefore the renewal date(i.e.30June).howeverifacentreinadvertentlymissesthisdate,theymaystillbeabletonotifyorclaimandshouldtalktotheirPIIrepresentativeimmediatelyaftertheyrealisetheissue.See4.7.
Policy administration4.4.9 NACLCisresponsiblefortheadministrationofthePolicyandpolicynegotiation.
Certificatesofcurrencyaresenttoallparticipatingcentreseachyear,alongwith
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informationaboutthePolicy(includingwheretoobtainpolicydocuments).Itisveryimportantthateachcentreretainstheircertificateofcurrencyinasafeplace.Ifnecessary,copiesofcurrentoroldcertificatescanbeobtainedfromNACLC.ThePIIPolicydocumentsareavailableontheMembers’PageoftheNACLCwebsite.IfyouhaveanyquestionsaboutthePolicyyoushouldcontactyourPIIrepresentative.Forcopiesofpreviouspolicydocuments,pleasecontacttheNACLCoffice.
Premium calculation4.4.10 AnannualPIIpremiuminrespectofallparticipatingcentresisnegotiated
withtheinsurer(viathebroker)byNACLC.Thispremiumhasremainedverycompetitivebecauseofthelowclaimsrecordincentres,thenatureoftheirwork,thebuyingpowerofonenationalarrangement,andrecognitionofthequalityassuranceprocessprovidedbytheannualcross-checksandtheNationalAccreditationScheme.
4.4.11 Thenationalpremiumisbrokendownstate-by-stateonthebasisoftotalstateandterritorycentreincomelevels.Thecentre-by-centrepremiumisthenbasedoneachcentre’sincomeasapercentageofthestate/territorytotalpremium.
4.4.12 Premiumscollectedfromeachparticipatingcentre,orotherdesignatedorganisationbythebroker.TheadministrationfeechargedtocentrescoverssomeofthecostsNACLCincursinmanagingandadministeringtheScheme,includingmaintainingtheExcessFund.
Excess4.4.13 Since2002,theNationalPIIPolicyhasincludedanExcess/Deductibleof$10,00020,
whichiscostsinclusive.Thismeansthatthecentreisrequiredtopaythefirst$10,000towardsclaimpaymentsand/orcosts,andtheinsurerwillbeliableforthecostsandclaimpaymentsabovethat$10,000,anduptothe‘PolicyLimit’.SometimestheinsurermightpayforeverythingupfrontandaskthecentretoreimburseitfortheExcesslater.
4.4.14 In2002,NACLCestablishedanExcess FundtoassistcentrestomeetmostofthecostoftheExcess,shouldaclaimbemadeagainstacentre.TheCommonwealthmadetheoriginalcontributionof$30,000tothefundinJuly2002andthefundcontinuestobemaintainedbyNACLC.ItistoppedupasnecessaryfromadministrationcostscontributionscollectedbyNACLCfromthecentresatthesametimeasitcollectsthepremiumpayments.
4.4.15 Previously,NACLCalsomaintainedaLegalInvestigationCostsFund,whichoperatedinasimilarwaytotheExcessFund.In2016thetwoprocessesandfundsweremergedandtheLegalInvestigationCostsFundwasclosed.
4.4.16 IfaclaimismadeagainstacentreandthatcentreisrequiredtopaytheExcess(inrelationtoeitheraclaimpaymentortocostsincurred),thecentremayapplytotheExcessFundtoassistinpayingtheExcess.Paymentisnotguaranteed.
4.4.17 CentreswishingtoapplytothePIIExcessFundshouldcontacttheirstateorterritoryPIIrepresentative,andprovidethefollowinginformationinsupportoftheapplication:
• Claimdetailsand/ornotificationform(assuppliedtotheinsurer),andanyadditionalrelevantcorrespondencewiththebroker/insurer;
20TheExcessforenquiriesis$1,000.
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• Allinvoicesissuedbytheinsurerand/ortheirlawyers,and/oranyothersettlementdocumentsorotherdocumentstoevidencethetotalpaidclaimamountaswellastheamountultimatelypaidbythecentre(i.e.thatthecentrehasindeedpaidtheExcess).Wheretheinvoiceisforlegalcosts,thecentre’sprincipalsolicitormustcarefullychecktheitemisedaccount(andifnecessaryrequestone)andverifythatallitemsarereasonableandappropriatelycharged,andincludetheiradvicetothiseffectintheapplication;
• OutlinetheimpactonthecentreifitwasunabletoaccessthePIIExcessFund,whichmightconsiderthecentre’sauditedannualaccounts,aswellasinformationaboutanyalternativesourcesoffundingtheyhavewhichcouldbeusedtopayallorpartoftheExcess;
• Thecentre’sclaimshistory–ifthereareseveralclaimsofasimilarnature,oriftheclaimhasarisenoutofacross-checkissue,thecentreshouldexplainwhatactionsithastakentoremedythecausesofsuchclaims;
• Anyspecialcircumstancesthatwouldjustifythewaiverorpartialwaiveroftheminimumcentrecontributionof$2,500.
4.4.18 ApplicationsareinitiallyconsideredbythePIIRepresentativeandtheNationalPIINetwork(oradesignatedsubcommitteeoftheNetwork),takingintoaccounttheinformationprovidedbythecentre.TheNationalPIINetworkthenmakesarecommendationtoNACLCabouttheapplication.NACLCmakesthefinaldecisionand(ifapproved)arrangesthepayment.
4.4.19 AcentrethatisapprovedforfinancialassistancefromtheExcessFundisrequiredtopaythefirst$2,500oftheExcess.
4.4.20 Centresshouldchecktheirfundingagreementstoseeifthereareanyrestrictionsorrequirementsinrelationtotheirpayingthecostsofclaimsornotifications.
4.5 Top-up insurance4.5.1 Top-upinsuranceiscoverforamountsgreaterthanthatprovidedbythePolicy
(see4.6.17)andisanoptionthatisopentoallcentresasindividualentities.Ahigherlevelofcovermaybearequirementofacentre’sfunding,ormaybeindicativeofthetypesofmattersthatthecentre’sworkershandleintheirday-to-dayoperations.Whendecidingwhethertotakeouttop-upinsuranceacentreshouldconsiderthefollowing:
• amount of cover needed:havingregardtotheindividualcircumstancesoftheparticularcentreincludingitsoperationalsizeandthenatureoftheactivitiesundertakenandServicesprovided.
• retroactivity:centresthatpurchasetop-upinsuranceshouldensurethepolicycoversallpastactivitiesandadvice.Thistypeofcoverwillmostoftenappearasretroactivecoverandthepolicyshouldsaywordstotheeffectthat,‘retroactivecoverisunlimited’or‘theretroactivedateiswithoutlimitationofdate’.Ifapolicyispurchasedwithoutretroactivecovertheremaybegapsincoverage.
• disclosure:thePolicyprovidescoverforclaimsotherwisecoveredbythePolicyarisingfroma‘KnownCircumstance’incertainsituations.Sometop-upprofessionalindemnitypoliciesmayexcludeknownclaimsand/orclaimcircumstances.Thisshouldbecheckedcarefully.Itisessentialthatallclaimsand/orcircumstancesthatmayleadtoaclaimaredisclosedinanyproposalorapplicationfortop-upinsurance.Afailuretostrictlycomplywiththeseproposalobligationsmayresultincoverbeingavoided.
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• consistency of terms:itisimportantthatthetermsofcoverageofthetop-uppolicyarethesameorfollowascloselyaspossibleanddonotconflictwiththewordingoftheprimaryPolicy.Anydifferencesmaycreategapsincover,whichcouldhaveconsequencesifaclaimoccurs.
• each and every claim limit versus aggregate limit:sometop-uppolicieswillcovercentresonaneachandeveryclaimbasis,meaningthecentrewillbecoveredformultipleclaimsaslongasthemaximumsingleclaimisnomorethanaspecifiedamount.Aboveacertainamount,mosttop-uppoliciesreverttoanaggregatelimit,meaningthatacentreiscovereduptotheaggregateamountofthevalueofallclaimsduringtheperiodofinsurance.
4.6 Some terms of the current Policy4.6.1 ThePIIpolicyismadeupofaPolicyWordingandaPolicySchedule.ThePolicy
Wordingisastandarddocumentfromtheinsurerorbroker(inthiscase,theinsurer),whichsetsouttheirstandardtermsofinsurance.ThePolicySchedulesupplementsthePolicyWording,toincorporateanyspecifictermsagreedbetweentheinsurerandtheinsuredforthatpolicyyear.AnewPolicyScheduleisissuedeachyear,howeverthePolicyWordingmayremainthesameforseveralyears.Referencesinthissectionto‘thePolicy’refercollectivelytothePolicyWordingandthePolicySchedule.
4.6.2 ThecurrentPolicyWordingisincludedatAppendix AtothisGuide.AcopyofthePolicySchedulefor2017-18isincludedatAppendix BtothisGuide,withinformationrelatingtoindividualcentresredacted.21
4.6.3 ItisimperativethattheResponsiblePerson,centremanagement,andemployedandvolunteerworkersarefamiliarwiththetermsofthePolicyWordingandthePolicySchedule.RememberalsothatpartsofthePolicy,usuallyonlythePolicySchedule,changefromyeartoyear.
Who is covered? 4.6.4 Generally,theterm‘you’appliestoanyperson(whichincludesalegalentity)
thatiscoveredbythePolicy,andtheterm‘NamedInsured’referstothepersonorentitywho/whichpaysmoneytotheinsurerandentersintothecontractforinsurancecoverwiththeinsurer.IntheNationalPIIPolicy,NACLCisthecontractingparty;‘NamedInsured’,referstoNACLCandallthecentreslistedintheregisterattachedtotheScheduletothePolicyeachyear(asamendedfromtimetotime),andalso‘Principals’ofthosecentres;andtheterm‘you’mayrefertothecentresaswellastheindividualsfromthosecentresthatareinsuredbythePolicy(see4.6.5-4.6.9).Arelativelysmallnumberofcentresarenotincorporatedandtheyareaprogramofanother,incorporated,organisation.Inthesecases,the‘NamedInsured’istheumbrellaorganisation,althoughitisonlyinsured‘initscapacityas’therelevantcentre.
4.6.5 ThePolicyWordingdefinesthemeaningofthe‘you’(ietheInsured)’and‘NamedInsured’,however,inthecurrentPolicythesesectionshavebeenfurtherexplainedbyendorsementsinthePolicySchedule,whichspecifiesalltheclassesofentitiesandpeoplecoveredbythePolicy.
21ThePolicyWordingandPolicyScheduleincludedwiththeGuideatpublicationarethoseforthe2017-18policyyear(validto30June2018).ThePolicyScheduleisupdatedeachyear,andismadeavailabletoallparticipatingcentres.ThePolicyWordingmaybeupdatedorchangedfromtimetotime,andthecurrentversionwillalwaysbeavailabletocentresviatheNACLCwebsite.
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4.6.6 Definition of ‘Named Insured’ inthePolicyWordingprovides:
Named Insured
Eachofthefollowing,individuallyandjointly:
a) eachperson,firmorincorporatedbodyidentifiedintheScheduleasaNamed Insured;
and
(a) anyentitywhichisengagedintheprovisionofProfessional Servicesandwhichiscreatedandcontrolled,whilethisPolicyisinforce,byanyoneidentifiedintheScheduleasaNamed Insured;and
(c) anyonewhobecomesaPrincipaloftheNamed InsuredwhilethisPolicyisinforce(butonlyinrespectofworkundertakenfororonbehalfoftheNamedInsuredfirmorincorporatedbody).
(d) Anyperson,firmorincorporatedbodywhoisentitledtoCoverunderthetermsofthis Policy(asabeneficiary).
4.6.7 Definition of the ‘You’: Endorsement5.2inthePolicyScheduleprovides:
5.2 Thedefinitionof“you”isdeletedandreplacedwiththefollowing: “youmeanseachofthefollowing,individuallyandjointly:
a) eachincorporatedbodyortradingentityidentifiedintheScheduleasanInsuredCentreandanypriorcorporateentities;and
b) anypersonwhois,wasorshallbeaPrincipal,partner,director,Employee,treasurer,secretary,administrativeassistant,consultant,contractor,agent,secondee,volunteerorstudentintheanInsuredCentre;andanyothernaturalpersoninvolvedinthegovernanceofanyInsuredCentres,includinganyboard,managementcommittee,advisorycommitteeorexecutivecommitteemember,totheextentthatsuchpersonactsoractedinthecourseoftheprovisionoftheProfessionalServicesCoveredbythisPolicy,butnotinrespectofClaimsorlossesarisingoutoforrelatedtofraudordishonestyandonlyinrespectofworkundertakenforandonbehalfofanInsuredCentre;and
c) anyentitywhichisengagedintheprovisionofProfessionalServicesandwhichiscreatedandcontrolled,whilethisPolicyisinforce,byanInsuredCentre;and
d) Anyperson,firmorincorporatedbodywhoisentitledtoCoverunderthetermsofthisPolicy(asabeneficiary);and
e) eachincorporatedbodyortradingentitylistedintheattachedlistofInsuredCentresthatpreviouslycarriedontheProfessionalServicesCoveredbythisPolicy(andonlyinrespectofthoseservices),butwhoorwhichhassubsequentlyceasedtoexistoroperateorhasbeendisposedoformergedwithoracquiredbyanotherentity;and
f) EachincorporatedbodyortradingentitylistedintheattachedlistofRun-offInsuredCentresbutonlyforClaimsforCivilLiabilityarisingfromtheprovisionofProfessionalServiceswhilsttheywereanInsuredCentre.
4.6.8 The‘you’includesconsultants,contractorsetc,asspecifiedin(b)above,totheextenttheyare/wereprovidinglegaladviceand/orrelatedservicesatorinconnectionwithacentrelistedintheregister.Clearlythiswouldcoveranycontractor,consultantetcwhoisanaturalperson.Itisnotclearwhetheritwould
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includecontractorsetcthatareincorporatedentities.Giventhis,anycentresengagingcontractors,consultantsetcthatareincorporatedentitiestoprovideprofessionalservicesforthecentre,mayconsideritwisetoensurethatthoseentitieshavetheirownPIIcover.
4.6.9 ThePolicycontainsadefinitionof‘Employee’,andspecificallyincludes‘avolunteerworkerorstudent’inthatdefinition.22Accordingly,volunteersincludingstudentsarecoveredbythePolicytothesameextentasapaidemployee.
Effect of cessation or change of centre: run-off cover for the centre and its employees, volunteers etc
4.6.10 ThePolicycoversclaimsmadeandnotifiedagainstacentre,and/oragainstanypersonwhowasanemployee,volunteeretcatthecentre,wherethecentrewaspreviouslypartoftheNationalPIISchemebutthelegalentityhasceasedtoexistoroperateorhasbeendisposedoformergedwithoracquiredbyanotherentity(sometimescalled‘aRun-Offevent’),orhasotherwiseceasedtoperformtheProfessionalServicescoveredbythePolicy,providedthecentreislistedontheregisterattachedtothePolicySchedule.Whereacentreisintendingtoceaseoperations,ortomergewithorbeacquiredbyanotherorganisation,orforanyotherreasontochangeitslegalidentity,theResponsiblePersonshouldnotifytheirPIIrepresentativeandNACLC.IfandwhentheRun-Offeventoccurs,theinsurershouldbenotified,viathebroker,asshouldNACLCsothattherelevantdetailscanberecordedontheregister.
Centres that leave the Scheme and insure with another insurer
4.6.11 Run-offcoverdoesnotapplytocentresthatcontinuetooperatebuthavechosentoleavetheSchemeandobtainPIIfromanotherinsurer.ThereforeitisimperativethatifacentreisleavingtheSchemeitensuresthatitsnew(replacement)PIIpolicyprovidesfullretroactivecoversothatthenewpolicywillcoverclaimsmadeinrespectofservicesprovidedbeforethecentreenteredintothatnewpolicy.Inparticular,thereplacementpolicyshouldnotcontainaretroactivedateorapastactsexclusion.WhereacentrethathasbeenpartoftheSchemeintendstoleavetheSchemeandtakeoutreplacementinsurance,theResponsiblePersonshouldnotifytheirPIIrepresentativeandalsoNACLC.
What is covered?4.6.12 CoverageisdiscussedinmanyplacesinthePolicyandallsectionsshouldbe
identifiedandreadcarefully.Someofthemainrelevantsectionsare:
• InsuringClauses(page2)
• Extensions(pages2-4)
• WhatIsNotCovered(pages5-7)
• ClaimsConditions(pages8-9)
• GeneralProvisions(pages 11-12)
• Definitions(pages13-15)
NotealsotheamendmentsmadetocertainpolicytermsinthePolicySchedule.
22NotethatinpreviousversionsofthePolicyWordingusedpriorto2016,volunteerswerecoveredbythePIIPolicy,bywayofanendorsementinthePolicySchedule.Thisisnolongernecessaryduetothespecificinclusionofthemwithinthedefinitionof‘Employee’withinthePolicyWording.
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4.6.13 InsuringClausesstate:
3.1 The Cover We Provide
WewillpaytooronyourbehalfallawardsofdamagesandawardsofclaimantscostsagainstyouresultingfromanyClaimforCivilLiabilityarisingfromtheprovisionofProfessionalServicesbyoronbehalfoftheNamedInsured.
WedothisonlyforClaimswhichare:
(i) madeagainstyouduringthePeriodofInsurance;andwhich
(ii) WearetoldaboutinwritingassoonasreasonablypossibleduringthePeriodofInsurance;andwhich
(iii)AriseoutofanacterrororomissionaftertheRetroactiveDate,ifany,specifiedintheSchedule.
4.6.14 InsuringClauseClarifications(page2)outlinesthetypesofclaimscovered(althoughitisnotanexhaustivelist).Claimscaninclude:
• breachofprofessionalduty
• breachofprivacyorconfidentiality
• breachoffiduciaryduty
• defamation
• lossofordamagetodocuments
• breachesofmisleadinganddeceptiveprovisionsofvariouslegislation
• infringementofintellectualproperty.
InsuringClausealsoprovidescoverforthelegalcostsandexpensesofinvestigating,defendingorsettlingaclaim(‘ClaimInvestigationcosts’),uptothePolicyLimit.
4.6.15 ThecurrentPolicyScheduledefinesthe‘ProfessionalServices’as:
Legaland/orrelatedservicesprovidedatorinconnectionwithaCommunityLegalCentre,whethertoaclientorclientsorinthepublicinterestgenerally,includingbutnotlimitedto:
Legalandrelatedinformation,referral,assistance,advice,casework,advocacy,representation,andcourtsupport;outreachservices;domesticviolenceadvocacy;immigrationassistancebyregisteredmigrationagents;tenancyadviceandassistance;mediationanddisputeresolution;communitylegaleducation;communityeducation;lawandpolicyreform;legalsystemandpublicinterestadvocacy;socialworkassistance;Financialcounselling;mediareleasesandinterviewsincludingsocialmedia;providingorpublishinglegalandrelatedpublicationsandmaterialsincludingself-helpkits.
ThedefinitionofProfessionalServicescanbeamendedbyagreement.
4.6.16 Itisimportantthatifanycentreisunsureastowhetheritiscoveredforanyworkitisundertakingorwhichisadditionaltoordifferentfromthetypesofserviceslistedinthedefinitionof‘ProfessionalServices’orotherwisedisclosedintheirProposalform,theycontactthebrokertodiscusswhethertheyarecoveredforthatactivityinadvanceofundertakingthatwork.Whencontactingthebroker,pleasealsoalwaysinformthePIIrepresentativeoftheenquiryandtheresponseassoonaspossible.
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Amount of cover4.6.17 Theamountofcover,thatis,thetotalsuminsuredforeachcentre,issetoutinthe
PolicyScheduleandis,subjecttoanycentre’sindividualvariation,setat$5millionforanyoneclaim,andanannualaggregateof$10millionforeachcentre.23
4.6.18 Endorsement1.2ofthePolicyScheduleliststhecentresthathavepaidahigherpremiumandtakenoutahigherlevelofinsuranceof$10millionperclaimunderthisPolicy,withanaggregateof$20million.Therearecurrentlysevencentresthattakeoutthehighercover.InallotherrespectsthePolicyisthesameforthesecentres.
Period of cover4.6.19 TheperiodofcoverissetoutinthePolicyScheduleunder‘PeriodofInsurance’,
andcurrentlyrunsto4pmon30Juneeachyear.
4.6.20 ThePolicyisrenewedannuallyandcoverageisforthefinancialyear.
Annual PII Proposal (renewal) 4.6.21 ItisveryimportantthatallannualProposalformsarereceivedpromptlyby
NACLC,andthatallrelevantinformation,especiallyneworalteredinformation,iscommunicatedtoNACLCtopassontothebrokerandinsurer,includingduringtheperiodbetweenwhentheProposalformissubmittedand30Juneeachyear.Centresmustcooperatefullyintheannualrenewalprocess.FulldisclosuremustbemadeinresponsetoeachquestionontheProposalform;otherwisetherequirementsofthe Insurance Contracts Act 1984(Cth)withrespecttothedutyofdisclosuremayaffectthecover.(ThedutyofdisclosureunderthisActissummarisedintheProposalform.)
4.6.22 CentresshouldensurethattheirannualProposalformcontainsinformationonalltheServicesthattheircentreprovidesincludingatanybranchofficesandanyspecialisthostedservices,programsorprojectsundertheirauspices(see7.10).TheexpandeddefinitionofProfessionalServicesshouldcovermostactivitiesandservicescarriedoutbycentres.however,ifanyofacentre’sactivitiesorservicetypesmightnotfitwithinthatdefinition,thecentreshoulddescribetheminthespaceprovidedontheProposalform.Centresshoulddothiseveryyear,evenifsuchServices/activitieshavebeendisclosedinProposalformssubmittedinpreviousyears.
4.6.23 Whereanunincorporatedcentreispartofanotherorganisationthatisthelegalentity,thosedetailsmustbenotedontheProposalformintherelevantspacesprovided.TheProposalformmustbesignedbyanauthorisedofficeroftheumbrellaorganisationaswellasbythecentre’sprincipalsolicitor.
What isn’t covered?4.6.24 ThePolicyhasspecifiedlimits,exclusionsandexceptions.See:
• PolicyWordingpage7:Limits&GST
• PolicyWordingpages5-7:WhatIsNotCovered
4.6.25 Thereareseveraltypesofclaimsspecifiedinthe‘WhatisnotCovered’sectionasbeingnotcovered(someofwhichareamendedbyendorsementsinthePolicySchedule).Theyare:
• knownClaimsandClaimsarisingfromKnownFactswhichmaygiverisetoaClaimorloss:(page5)(see4.7 below)
23PIIPolicySchedule,‘LimitofLiability’andEndorsement1.1.
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• foreignjurisdictions:(page5)
• assumeddutyorobligation:(page5)(forexample,ifacentregaveacontractualindemnity,orareleasetoaperson/entityfromliabilitytothecentre)
• [notethattheRelatedPartiesexclusionin(page5&6)hasbeenremovedbyEndorsement2.1inthePolicySchedule:see4.6.29-30below]
• refundofprofessionalfeesandtradingdebts:(page6)
• profit:(page6)
• insolvency:(page6)
• goodsandworkmanship:(page6)asamendedbyEndorsement2.2inthePolicySchedule
• employers’liability,directors’andofficers’liability,occupiers’liability,motor,marineetc:(page6)asamendedbyEndorsement2.3inthePolicySchedule
• punitiveandexemplarydamages:(page6)
• intentionaldamage:(page6)
• deregistration:(page6)
• asbestos:(page7)
• radioactivityandnuclearhazards:(page7)
• waranduprisings:(page7)
• Terrorism(asdefinedinthePolicy):(page7)
• pollution:(page7).
4.6.26 Inaddition,thePolicySchedule,inEndorsement2.4,specificallyexcludescoverforanyclaim:
MortgageFunds
Directlyorindirectlyrelatedto,basedupon,attributabletoorinconsequenceofanymortgagefund,investmentschemeoranylikeformofcontributoryinvestmentschemepromoted,managed,endorsedorotherwisecountenancedbytheInsured.
NativeTitleClaims
Directlyorindirectlyrelatedto,basedupon,attributabletoorinconsequenceofanynativetitleclaims.
4.6.27 Mostimportantly,limits,exclusionsandexceptionstothePolicymaychangefromyeartoyearanditisessentialthatcentrestaffandmanagementensurethattheyarefamiliarwiththecurrentPolicyWordingandSchedule.
4.6.28 In2014-15,NACLCnegotiatedwiththeinsurertoremovethe‘RelatedParties’exclusionthatpreviouslyexistedinthePolicy.Endorsement2.1ofthePolicyScheduleeffectsthatremoval.ThisremovaleffectivelyclarifiesthatcoverisprovidedinrespectofclaimsthatarebroughtagainstoneinsuredbyanotherinsuredunderthePolicy,arisingoutofProfessionalServicesprovidedbythefirstinsuredtothesecond.Endorsement4.1confirmsthiscoverbywayofanewsub-section(c),whichalsofurtherclarifiesthat,insuchcircumstances,‘theInsuredbringingsuchClaimisdeemedtobeathirdpartyforthepurposesofthePolicy’.
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4.6.29 Accordingly,whereaclaimarisesincircumstanceswhereLegalAdviceorotherServiceswereprovidedtootherinsuredcentre/sortoemployees/volunteersofthefirstcentre,itwillstillfallwithintheprofessionalindemnitycoverprovidedbythePolicy,subjecttothetermsandconditionsofthePolicy.
4.6.30 ItisimportanttonotethatthisGuideappliestocentresfortheprovisionofallprofessionalservices,irrespectiveoftheidentityoftheclient.Accordingly,thesameprotocolsthatarefollowedforprovidingprofessionalservicestoexternalclientsmustalsobefollowedwhenprovidingLegalAdviceorotherServicestoemployees/volunteersofthatcentreortoothercentresinsuredunderthisSchemeortheiremployees/volunteers.Failuretofollowthosesameprotocolsmayimpactonthecoveraffordedbytheinsurerintheeventofaclaim.
4.7 Notifications and claimsDuty to notify24
This is a Mandatory Standard.
Notification of claims or losses
4.7.1 UndertheNationalPIIPolicy,acentremustnotifytheinsurerinwritingas soon as possible,andwhilethePolicyisinforce,aboutaclaimorloss.Thisisafundamentalcontractualobligation:Policypages2(InsuringClause)&8(WemustbetoldaboutClaims)(amendedbyEndorsement3.1ofthePolicySchedule).
Endorsement3.1ofthePolicySchedule,whichreplacestheClauseonpage8,says:
youmusttellUsinwritingaboutaClaimassoonaspossibleduringthePeriodofInsurance.however,thisinsurancewillnotbeprejudicedbyanyinadvertentdelay,errororomissioninnotifyingUsofanyClaimsunderthePolicyprovidedthatsuchnotificationisreceivedbyUswithin28daysoftheexpirydate[ofthePolicy].
4.7.2 ‘Claim’isdefinedonpage13ofthePolicyas:
Claim
Thereceiptbyyouof:
(a) anyoriginatingprocess(inalegalproceedingorarbitration),crossclaimorcounterclaimorthirdpartyorsimilarnoticeclaimingcompensationagainstyou;or
(b) anywrittenorverbaldemandfromathirdpartyclaimingcompensationagainstyou.
4.7.3 Therequirementtonotify‘duringthePeriodofInsurance’meansthatthenotificationofaclaimorlossmustbemadenolaterthan30Juneeachyearatwhichtimethecurrentinsurancepolicyexpiresandbeforethenewfinancialyear’spolicycomesintoeffect(althoughnotethatthishasbeenextendedto28dayslateinEndorsement3.1).howeveritisthephrase‘assoonaspossible’thatisparamountandthephraseisinterpretedstrictlybyinsurers.
Notification of potential claims: facts or circumstances that might give rise to a claim
4.7.4 TobecoveredbythePolicythecentremustalsonotifythebroker/insurerinwritingofanyfact/s or circumstance/s that might give rise to a claim,andmust
24ForadetaileddiscussionofobligationstonotifyunderPIIpolicies,seethehighCourtdecisionFAI General Insurance Company Limited v Australian Hospital Care Proprietary Limited[2001]hCA38.
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dosoas soon as is reasonably practicable after becoming awareofthosefactsandcircumstances.Thisisforthefollowingreasons:
(a)Section40(3)oftheInsurance Contracts Act 1984(Cth)(ICA)providesthat:‘Wheretheinsuredgavenoticeinwritingtotheinsureroffactsthatmightgiverisetoaclaimagainsttheinsuredassoonaswasreasonablypracticableaftertheinsuredbecameawareofthosefactsbutbeforetheinsurancecoverprovidedbythecontractexpired’,thentheinsurerwillstillbeliableunderthatpolicyforaclaim,eveniftheclaimismadeafterthatpolicyexpired.Importantly,wherethereisanydelayinthenotificationtotheinsurerofthefactsandcircumstances,theinsurer’sliabilitytoindemnifytheinsuredagainsttheclaimisreducedtotheextentthatithasbeenprejudicedbythelatenotification.25
(b)PIIpoliciesgenerallyexcludecoverforclaimsthatarisefrom‘KnownCircumstances’.ThePolicydefinesa‘KnownCircumstance’as:
Anyfact,situationorcircumstancewhich:
(a) anInsuredwasawareofatanytimebeforethePeriodofInsuranceorbeforethisPolicywasamended/endorsed;or
(b) areasonablepersonintheInsured’sprofessionalpositionwouldhavethought,atanytimebeforethePeriodofInsuranceorbeforethisPolicywasamended/endorsed,
mightresultinsomeonemakinganallegationagainstanInsuredinrespectofaliability,lossorcosts,thatmightbeCoveredbythisPolicyortheamendment/endorsementtothisPolicy.
4.7.5 Thecombinedeffectofthesematterscanbeseeninthefollowingexample:
Acentrebecomesawareofthecircumstancesofapotentialclaim(forexample,havinggivenincorrectLegalAdvice)butdoesnotnotifythemtothebroker/insurerbeforethepolicyexpires(orwithin28daysofexpiry).AclaimarisesfromthosecircumstancesinthefollowingyearatatimewhenthecentrehasadifferentPIIinsurer.Subjecttoanyprovisionstothecontrary,theclaimwillnotbecoveredundereithertheprevious,orcurrent,policy.Underthepreviouspolicytheclaimwillhavebeenmadeafterexpiryofthepolicy.Asthecircumstanceswerenotnotifiedwhilethepolicywasstillonfoot,theclaimdoesnotattracttheprotectionofs40ICA.Underthenewpolicy,theclaimwillhavearisenfrom‘Knowncircumstances’,whicharegenerallyexcludedbyPIIpolicies.
4.7.6 havingsaidthis,thePolicywithPacificIndemnity(andallNationalPIISchemepolicieswithCGUsince2002)containsa‘Continuouscover’clause(page3)whichisanimportantexceptiontotheexclusionofcoverforclaimsarisingfrom‘KnownCircumstances’.Inbroadterms,ifacentrehasbeeninsuredwithPacificIndemnity/CGUandrenewsthecoverwithPacificIndemnity,claimsarisingfromKnownCircumstanceswillbecoveredaslongasPacificIndemnity/CGUwasthePIIinsurerforthecentrewhenthepotentialclaimwasfirstknownandremainedtheinsurerforthecentrecontinuouslyuptoandincludingthetimewhentheclaimarisingfromthoseKnownCircumstanceswasmadeagainstthecentre.Ifthereisanygapinthecover,orthecentrechangesinsurer,thecontinuouscoverbenefitscease.Notethatthereareconditionstothecoverandthesearesetoutonpage3ofthePolicyWording.
25Refertosection54oftheInsurance Contracts Act 1984(Cth)andrelevantcaselaw.
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4.7.7 NotetoothatwhereisadelayinnotificationtoPacificIndemnity,theamountofcoverunderthisContinuouscoverprovisioncanbereducedbytheamountofanyprejudicesufferedbyPacificIndemnity/CGUinconsequenceofthedelay.
So, when should you notify?
4.7.8 TobecoveredbythePolicy,centresshouldgivenoticeinwritingtothebroker/insurerofany claim and/or of any facts or circumstances that might give rise to a claimagainstthecentre(oranyoneelseinsuredbythePolicy)assoonasreasonablypracticableafterreceivingaclaimorbecomingawareofthosefactsorcircumstancesthatmaygiverisetoaclaimandbeforetheexpiryofthePeriodofInsurance.Ifthisisdone,thePIIPolicywill,subjecttoitstermsandconditions,providecoverevenifthatclaimismadeaftertheexpiryofthePeriodofInsurance.TheContinuouscoverclausemeansthatacentremaystillbecoveredforaclaimevenifnotificationofafactorcircumstancethatgaverisetotheclaimwasnotmadebeforetheendoftheinsuranceperiod(providedPacificIndemnityisstilltheinsurerwhentheclaimismadeandtherehasbeencontinuouscoverwithPacificIndemnity).Soifacentreinadvertentlymissesthisdate,theymaystillbeabletonotifyorclaimandshouldtalktotheirPIIrepresentativewithoutdelay.
4.7.9 Delayednotificationcanattheveryleastprejudicetheextentofcoveravailable,andmaymeancoverisdenied.Ifindoubt,notify.Itisbetterandsafertonotifythannot.
4.7.10 ThenotificationformappearsatAppendix C.Ifacentrebelievesithasapotentialclaim,before making any notification to the broker/insurerthecentreshouldgetalldetailsofwhathashappenedandtheResponsiblePersonmustdiscussthematterwiththeirstateorterritoryPIIrepresentativewithoutdelay.ThePIIrepresentativecanassistthecentretocompletetheformandwillmaintainaconfidentialfileonthematter.Iftherepresentativecannotbecontactedandthematterisurgent,theResponsiblePersonofthecentreshoulddiscussitwithaPIIrepresentativefromanotherstateorterritory.Ifthematterissourgentthatthisisnotpossible,thePIIrepresentativeshouldbeinformedatthesametimeorassoonaspossibleafternotifyingthebroker/insurer.
4.7.11 DiscussionwiththePIIrepresentativecanbeveryhelpfulwhendecidingwhethertonotify.PIIrepresentativeshaveawealthofexperienceaboutcentremattersandothersituationsthatmayhavegivenrisetoaclaimorpossibleclaimorgroundsfornotification.Ultimately,however,thedecisionwhetherornottonotifyrestswiththecentre.
4.7.12 Thebrokertoohasusefulexperienceofwhattheinsurermaythinkaboutparticularmattersanditcanbehelpfultogettheirperspective.WhereverpossibleacentreshouldcontacttheirPIIrepresentativefirst,howeveracentremaycontactthebrokerdirectlyfirstifnecessary.Wherethishasbeendone,thecentreshouldinformthePIIrepresentativebyemailorphoneofthequestionaskedandtheresponsegiven.Anyinformationorcommentprovidedbythebroker(ortheinsurer)shouldbefullyrecordedinacontemporaneousfilenote.
4.7.13 Wheneverpossible,anotificationshouldbemadetothebroker,whowillforwardthenotificationtotheinsurer.howeveranotificationcanbesentdirectlytotheinsurer,forexamplebecauseofurgency,inwhichcaseacopyshouldbesenttothebrokerandthePIIrepresentative.
4.7.14 TheResponsiblePersonshouldconsiderreviewingthelegalpracticeanditsrelatedServicespriortosubmittingtheinsuranceProposalformeachyear.ItiscriticalthattheinformationontheProposalformisaccurateatthetimeitissignedandsubmittedandthatanyotherrelevantinformationisnotifiedtothe
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insurer/brokerbeforetheendofthatyear’scoverandthebeginningofthenewpolicy.Thisisparticularlycriticalforaclaimorcircumstancethatmayhavecometothecentre’sattentionbetweensubmissionoftheProposalformand30June.Asnotedabove,notificationofsuchaclaimorcircumstancemustbemadeassoonaspossible.Further,iftheinsurerisnotnotifiedofanyclaimorcircumstancesby30June,itmayrefusetopaytheclaimentirely,subjecttotheapplicationoftheContinuouscoverclause.
4.7.15 AcopyofanynotificationmustbegiventothePIIrepresentative.ThenotificationwillgenerallybetreatedasconfidentialtothePIIrepresentativeandtheidentityofthecentrewillnotbedisclosedexceptonaneed-to-knowbasiswithintheadministrationoftheScheme:see3.5.17-18.ThePIIrepresentativemustalsobeadvisedoftheoutcomeofanynotification/claimthatismade.
4.7.16 Onceanotificationisreceivedbytheinsurer,page8ofthePolicyreferstotheactionstheinsurercantaketoprotecttheirposition:
We can protect our position
WhenWereceiveanotificationofaClaimorCoveredClaim,thenWecantakewhateveractionWeconsiderappropriatetoprotectOurposition.
Thisdoesnot,however:(a) indicatethatanyInsuredisentitledtobeCoveredunderthisPolicy;or(b) jeopardiseOurrightsunderthisPolicyoratlaw.
4.7.17 ThefollowingflowchartillustratesthenotificationsprocessfortheNationalPIIScheme.
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Knowledge: centrebecomes aware ofcircumstances that
might lead to a claim.
The centre’s Responsible Person (RP) calls their stateor territory PII representative to discuss the
potential notification, and the PII representativeprovides advice. The PII representative records brief
details of the call on a template form.
Centre’s Responsible Person(RP) decides whether or not to
make a notification to the insurer.
Notification to be made: the centre’sRP contacts the insurance broker, providing
details of the circumstances and completing the notification form. The centre’s RP sendsa copy of the notification correspondence
to the PII representative.
Insurance broker: sends notificationdetails to the insurer (or advises thecentre if the circumstances are not
notifiable).
Insurance broker: liaises with centre regarding anyfurther information requested by the insurer, and, if aclaim is made, in relation to the insurer’s investigation
and defence/settlement of the claim.
PII representative: files the notification and relevant correspondence in the
respective Dropbox folder (or other approved record keeping location as appropriate).
Centre’s RP updatesthe PII representative on the broker’s
response, including if thecircumstances are not notifiable.
Centre’s RP regularly updatesthe PII representative on the status ofthe file, including if a claim has been
made/settled/file closed.
No notification to be made:nothing else happens, unless
the circumstances change anda notification is required.
Noti�cations ProcessNotifications Process
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Duty not to admit liability This is a Mandatory Standard.
4.7.18 Theinsuredcentremustnotmakeanyadmissionsofliability.Referpage8ofthePolicy:
You must not admit liability for or settle any claim (or covered claim)
youmustnot:
(a) admitliabilityfor,orsettleanyClaim(orCoveredClaim);or(b) incuranycostsorexpensesforaClaim(orCoveredClaim)withoutfirst
obtainingOurconsentinwriting.IfOurpriorconsentisnotobtained,yourrighttoCoverunderthisPolicymaybeaffected.
4.7.19 OfcoursethisdoesnotpreventacentretakinganyremedialormitigatingactioninrelationtoapotentialclaimitselfbutanysuchactionshouldonlybedoneafterconsultationwiththePIIrepresentativeandthebroker/insurer.Thecentremaybeunderanobligationtocorrectorclarifyadviceand/ortorefertheclientforindependentlegaladvice.Giventhedifficultiesofdoingthiswithoutadmittingliability,thecentreshouldfirsttalktotheirPIIrepresentativeandthebroker/insurer.Onceacentreisawareofaclaimorcircumstancethatcouldgiverisetoaclaim,theyshouldbeextremelycautiousaboutanycommunicationswiththeclientincludingcommunicationsrectifyingerrors(see7.2.9-10).Anadmissionofliabilitycanoccurorbeinferredfromotherbehaviour,forexample,byanapology.Iftheinsurerformsthatviewthatthishasoccurred,itmayaffectcover.Ontheotherhand,ifsomethingsuchasthishasoccurred,ittoomustbenotifiedtotheinsurerassoonaspossible.
4.7.20 NotePage11‘LossPrevention’,wherebyyouarerequiredasaconditionofcover,to:
takeallreasonablestepstopreventanyact,error,omissionorcircumstancewhichmaycauseorcontributetoanyClaimorCoveredClaimwhichmaybeCoveredunderthisPolicy.
Working with the insurer4.7.21 ThereareanumberofPolicyclausesthatgototheneedtoworkwiththeinsurer
andtheiragentsonanymatternotified.TheClaimsCo-operationprovisiononpage8ofthePolicyrequirestheinsuredcentretocooperate‘diligently’andbydoingandallowingtobedone‘everythingreasonablypracticable’toavoidorlessenliabilityorloss,includingbyimmediatelygiving‘allthehelpandinformation’thattheinsurerreasonablyrequirestoinvestigateanddefendaclaimorloss,andworkoutitsliability.
Reserve4.7.22 Onceanotificationismadetotheinsurer,itwillsetareserve.Thereserveisthe
amountoffundsorassetsnecessaryforanorganisationtohaveatanygiventimetoenableit,withinterestandpremiumspaidtomeetallclaimsontheinsurancetheninforce.Theminimumreserveappliedtoanyclaimisusually$15,000.Asthetimelimitforbringingaclaimpassesortheinsurerfindstheriskhaspassed,therelevantpartofthereservewilllapse.Thereservereflectstheinsurer’sassessmentofitspotentialexposureinrespectofeachandeveryclaim.
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Subrogation4.7.23 Subrogationisdefinedas:
Thesubstitutionofonepersonforanotherinrespectofalawfulclaim,demand,orright,sothatthepersonsubstitutedsucceedstooracquirestherights,remedies,orsecuritiesoftheotherinrelationtotheclaim.Thepersonwhoissubrogatedtoanotherstandsinthatperson’sshoes...
Insurance.1.Adoctrinebywhichaninsurerisentitledtohavetherightsoftheinsuredsubstitutedtohimorhersoastobeentitledtotherightsandremediestheinsuredpossessesagainstthirdpartiesinrelationtoaclaim...26
Thisisreflectedbytheprovisiononpage8ofthePolicy:
We can manage the claim (or covered claim) on Your behalf
Wecan:
(a) takeoveranddefendorsettleanyClaim(orCoveredClaim)intheyourname;and
(b)claiminyourname,anyrightyoumayhaveforcontributionorindemnity.
4.7.24 Asamatteroflaw,subrogationmeansthatifacentreseekstorelyontheinsurancePolicy(andlimititsliability)bynotifying,thenthecentre’srightsbecometheinsurer’srights.
4.7.25 Asamatterofpractice,itmeansthatfromthemomenttheinsurerisnotified,everydecisioninrelationtohowthematterishandled,istheinsurer’s.Thisincludes,amongmanyotherthings,whichlawyersaretobeinstructed.
4.7.26 Theabovereferredtosectionseffectivelymeanthat,forfullcover,itistheinsurer’sdecisionwhetheraclaimwillbedefendedorsettled,andonwhatterms.Theinsuredcentredoeshavearight,undersectiontitled“yourrighttocontest”(page8),nottoconsenttoasettlementthattheinsurerrecommends,andtocontestorcontinuethelegalproceedings,butifthisisdone,thecoverprovidedwillbelimitedto:
(a) theamounttheinsurerwouldhavesettledfor;
(b)LESStheExcess;and
(c)LESStheClaimInvestigationcostscalculatedtothedatethecentrechosenottoconsenttosettlement.
TheSeniorCounselsectiononpage8ofthepolicywordingprovidesthatneithertheinsurernottheinsuredcentrecanrequiretheothertocontestamatterunlessanagreedseniorcounselhasadvisedthattheclaimproceedingshouldbecontested.
Claim Investigation Costs 4.7.27 ‘ClaimInvestigationCosts’aredefinedonpage13 ofthePolicyWordingtobe
thelegalcostsandexpensesofinvestigating,defendingorsettlinganyClaim(oranythingthatmightresultinaClaim.TheInsuringClausesofthePolicyexplainswhatclaiminvestigationcostswillbepaidbytheinsurer,andonwhatconditions.
26LexisNexis,Encyclopaedic Australian Legal Dictionary (asat31January2017)‘Subrogation’.
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4.7.28 TheExcessontheNationalPIIPolicyis‘inclusiveofcostsandexpenses’.27ThismeansthatthecentrewillalsoberequiredtocontributeuptotheamountoftheExcesstowardsClaimInvestigationcosts[see“theExcess”provisionsonpage9ofthePolicy].ThetotalExcessrequiredtobepaidbythecentreinrespectofclaimpaymentsandClaimInvestigationcostsshouldnotexceed$10,000foranyoneclaim.
4.7.29 CentresmayapplytothePIIExcessFundtoassistinpayingfortheExcesspayabletotheinsurer,regardlessofwhetherthatExcessisinrelationtoaclaimpayment,ClaimInvestigationcosts,orboth.PaymentiswithinthediscretionofNACLCwhowilltakeadvicefromtheNationalPIINetwork.See 4.4.13-19formoredetailsonthePIIExcessFundincludingtheproceduretobefollowed.
4.7.30 Additionally,thecentreshouldkeepinclosecontactwiththePIIrepresentativethroughoutthelegalinvestigationphaseandseektheiradviceiftheyareunsureaboutanyrequestmadebytheinsureroritslawyers.Thecentreneedstounderstandthatthelawyersareactingfortheinsurerandnotforthecentre.
Finalisation of claims4.7.31 Whenaclaimhasbeenfinaliseditiseffectivelytakenoffthebooksandthe
reserveforthatcircumstanceorclaimdisappearsfromthereservetotal.Thatis,theinsurernolongerholdsthatamountofmoney‘inreserve’againstthatclaim.
4.7.32 Someclaimsarefinalisedwhenthelikelihoodofalawclaimdisappears,forexample,wherethepotentialplaintiffisoutoftimetosuethecentre.Othersendwhenthecircumstancesthatledtonotificationareresolved.ItisthereforeimportantthatanycentreswithnotificationswithareservesetagainstthemkeepthePIIrepresentativeuptodatewiththecircumstancesandprogressoftheclaim.Onceamatterisfinalised,thecentreandPIIrepresentative,andifneededthePIINetwork,mightneedtomakerepresentationstotheinsureraboutremovalofreservesagainstthePolicy,asthesecanaffectthepremiumsetthefollowingyear.
4.8 Complaints about insurance Anycomplaintaboutdealingswiththeinsurershouldbedirectedthroughthe
ResponsiblePersoninthecentretothePIIrepresentativeandthenontothestateorterritoryPIIcommitteeand/orNationalPIINetwork.AsNACLCisthecontractingparty,itisimperativethatNACLCisinformedofanyissuewiththePolicy,itsinterpretationorapplication.
4.9 Relationship with legal profession regulatory bodies4.9.1 Therelationshipbetweeninsurersandlegalprofessionregulatorybodies(for
example,lawsocieties)differsfromstatetostate.OnecommonelementisthateachyeartheregulatorybodyneedstobesatisfiedthatlawyerstobeissuedpractisingcertificateshavePIIfortheforthcomingyearandthattheinsuranceisadequate.
4.9.2 Intheeventthatthecentrereceivesaqueryfromaregulatorybodyaboutinsurancearrangements,thePIIrepresentativeshouldbecontactedtoassistwithformulatingaresponse.
27SeePIIPolicySchedule,‘Excess’.
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4.10 Double insurance4.10.1 Ifacentrehasmorethanoneinsurancepolicyprovidingprofessionalindemnity
coveritshouldconsiderwhetherthereisdouble(ordual)insurance.Ifso,thecentreshouldconsidertherelevantprovisionsofthetwopolicies,asitispossiblethatoneormoreoftheinsurersmayseektoavoidliabilityintheeventofdoubleinsuranceresultinginadisputebetweeninsurersand/ortheinsured.Thiscanoccurwhetherornotaninsuredintendedtohavemorethanoneinsurercoveraparticulararea.
4.10.2 Manyinsurancepoliciespurporttolimitorexcludecoverininstanceswhere‘other’policiesmayordoprovidecover.
NotethattheNationalPIIPolicy(page11)requiresimmediatenotification:
Other insurance which may cover the risk
youmustimmediatelyadviseUsinwritingofanyinsurancealreadyaffectedorwhichmaysubsequentlybeaffectedcovering,intotalorinpartandwhetherabsolutelyorcontingently,therisk,oranypartofit,CoveredbythisPolicy.
Notealsothe‘ContinuousCover’provisiononpage3ofthePolicy,whichprovidesthefollowinginrelationtocontinuouscoverofpriorKnownCircumstances:
…IftheInsuredwasentitledtohavegivennoticeoftheKnownCircumstanceunderanyotherpolicyofinsurance(withanyotherinsurer),thenthisContinuousCoverextensiondoesnotapplytoprovideCoverunderthisPolicy…
4.10.3 Whereapolicyhasaprovisionthatpurportstolimitorexcludeliabilitybecauseof‘otherinsurance’,s45ofthe Insurance Contracts Act 1984(Cth)isrelevantandprovides:
45 ‘Other insurance’ provisions
(1)Whereaprovisionincludedinacontractofgeneralinsurancehastheeffectoflimitingorexcludingtheliabilityoftheinsurerunderthecontractbyreasonthattheinsuredhasenteredintosomeothercontractofinsurance,notbeingacontractrequiredtobeeffectedbyorunderalaw,includingalawofaStateorTerritory,theprovisionisvoid.
(2)Subsection(1)doesnotapplyinrelationtoacontractthatprovidesinsurancecoverinrespectofsomeorallofsomuchofalossasisnotcoveredbyacontractofinsurancethatisspecifiedinthefirst-mentionedcontract.
4.10.4 Thisareaoflawiscomplexandintheeventthatthecentrehasmorethanoneinsurancepolicyandmaybe‘doubleinsured’itshouldseektheadviceofspecialistlawyers.
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CHAPTER 5
LegalprofessionregulationInthischapter:5.1 Introduction 65
5.2 Mandatoryriskmanagement 65
5.3 relationshiptoinsurance 65
5.4 Stateandterritoryregulatoryschemes 65
5.5 MandatoryStandards 65
5.5.1 Practisingcertificates 65
5.5.4 Supervision 66
5.5.7 Costsagreementsandrecoveryofcosts 67
5.5.11 Trustmoneyandcontrolledmoney 67
5.5.12 Transitmoney 68
5.5.15 RegisteredMigrationAgents 68
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5.1 Introduction Thelawsregulatingthelegalprofessionaffecttheriskmanagementofacentre’s
legalpracticeinmanyways.Compliancewiththeselawsisofcourseamandatoryrequirementforcentres.
5.2 Mandatoryriskmanagement Legalprofessionregulationlawsareanessentialpartoftheriskmanagement
environmentbecausethey:
• incorporatethegeneralrequirementsforengaginginlegalpractice
• regulatetheconductandparametersoflegalpractice
• providecomplaintsmechanismsanddisciplinaryprocedures
• provideforexternalreviewandintervention
• establishregulatorybodiessuchaslegalservicescommissions.
5.3 relationshiptoinsurance Thelawsregulatingthelegalprofessionsetoutrequirementsinrelationto
professionalindemnityinsuranceforthosewhoengageinlegalpractice:see4.9.
5.4 Stateandterritoryregulatoryschemes5.4.1 Eachstateandterritoryhaslawsfortheregulationofthelegalprofession29.The
CouncilofAustralianGovernments(COAG)decidedtoestablishuniformityandsimplificationintheregulationofthelegalprofession,bywayofharmonisedlegislation.TheLegalProfessionUniformLawSchemeisoverseenbytheLegalServicesCouncil(LSC)andCommissionerforUniformLegalServicesRegulation30.Atthetimeofgoingtoprint,VictoriaandNSWaretheonlytwojurisdictionsparticipatinginthescheme,andtheirownlegislationadoptstheUniformLaw:see1.7.QueenslandandtheNorthernTerritoryhadpreviouslyagreedtoparticipateinanationalschemeandtothetermsofdraftlegislation,howeverareyettoagreetoadoptthefinalUniformLaw.LawyersshouldkeepthemselvesapprisedofdevelopmentsinregardtoanypotentialadoptionoftheUniformLawandRulesintheirjurisdictions,orchangestotheirownjurisdiction’slaw.
5.4.2 LegalprofessionlawscreatearangeofissuesthatneedtobediscussedintheGuide.
5.5 MandatoryStandardspractisingcertificates
5.5.1 Topractiseasalawyerapersonmustbeadmittedtopractiseandhaveacurrentpractisingcertificate.Lawyersshouldbefamiliarwiththelegalpracticelegislationoftherelevantstateorterritory(orrelevantstateandterritoriesiftheypractiseacrossborders),andensurethatallrequirementsaremet.Theymustensurethattheyareontherelevantrollsofcourt.
5.5.2 Theissueofpractisingcertificatesisregulatedunderthevariouslegalprofessionlawsthatdifferintheirrequirementsincludingastotypesofcertificatesand/or
29ACT:LegalProfessionAct2006;NSW:LegalProfessionUniformLaw(NSW);NT:LegalProfessionAct;Qld:LegalProfessionAct2007;SA:LegalPractitionersAct1981;Tas:LegalProfessionAct2007;Vic:LegalProfessionUniformLaw;WA:LegalProfessionAct2008.
30MoreinformationisavailableontheLegalServicesCouncil’swebsite,at<http://www.legalservicescouncil.org.au/>.
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rightstopractiseandintheconditionsthatcanandwillbeimposedinvariouscircumstances.31Generallythelevelsortypesofcertificatesincludeprincipalandemployeecertificates.Theprincipalcertificateisissuedtotheprincipalsolicitor/s.Alawyerwillbeeligibleforanunrestrictedpractisingcertificateoncetheyhaveundergonetherequiredsupervisiontimeand,whererelevant,compliedwithotherlegalpracticemanagementeducationrequirements.Inmostjurisdictionsthereisalevelofpractisingcertificatedenotedasrestricted.Arestrictedpractitionerissubjecttoanumberofrestrictionsincludingreasonablesupervision(seebelow)andensuringthatanycompetencyorskillsbasedrequirementsaremet.
5.5.3 Conditionsinpractisingcertificatesusuallyrelatetoissuessuchas:
• whetherthecertificateisrestrictedorunrestricted
• typeofemployerorganisation
• levelofsupervisionrequired
• whetherthepracticeislimitedtoaparticularactivity
• compliancewithmandatorycontinuinglegaleducationrequirements.
Supervision5.5.4 Legalprofessionlawsgenerallyallowfor‘supervised’and‘unsupervised’practice.
Wherealawyerissubjecttoaconditionofsupervisedpracticetheymusthavereasonablesupervision.32Forexample,inQueensland‘supervisedlegalpractice’isdefinedinthefollowingway:33
supervisedlegalpracticemeanslegalpracticebyapersonwhoisanAustralianlegalpractitioner--
(a)asanemployeeofalawpracticeif--
(i) atleast1partner,legalpractitionerdirectororotheremployeeofthelawpracticeisanAustralianlegalpractitionerwhoholdsanunrestrictedpractisingcertificate;and
(ii)thepersonengagesinlegalpracticeunderthesupervisionofanAustralianlegalpractitionermentionedinsubparagraph(i);or
(b)asapartnerinalawfirmif--
(i) atleast1otherpartnerisanAustralianlegalpractitionerwhoholdsanunrestrictedpractisingcertificate;and
(ii)thepersonengagesinlegalpracticeunderthesupervisionofanAustralianlegalpractitionermentionedinsubparagraph(i);or
(c)inacapacityapprovedunderadministrationrules.
5.5.5 Theprovisionofadequateandappropriatesupervisionisnotonlyamatterofcomplyingwithrelevantprofessionalregulationrequirements.Itisalsoariskmanagementissuebecausepropersupervisionensuresqualityworkand
31ACT:LegalProfessionAct2006s35;NSW&Vic:LegalProfessionUniformLawss43-44,47;NT:LegalProfessionActs46;Qld:LegalProfessionAct2007s45;SA:LegalPractitionersAct1981s16;Tas:LegalProfessionAct2007ss41-42;WA:LegalProfessionAct2008s37.
32ACT:LegalProfessionRegulation2007reg13;NSW&Vic:LegalProfessionUniformGeneralRules2015r14;NT:LegalProfessionRegulationsreg12;Qld:LegalProfessionRegulation2007reg8;Tas:LegalProfessionRegulations2008reg8;WA:LegalProfessionRegulations2009reg7.Note:thereappearstobenoSouthAustralianequivalent.
33Qld:LegalProfessionAct2007sch2(definitionof‘supervisedlegalpractice’).
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competencyinlegalpracticeandotherservicedelivery.Itcanalsoberelevanttothewellbeingandjobsatisfactionofstaff,andtoretentionofstaff–thesecanthemselvesbeareasofpotentialrisktoacentreandanotherreasonforensuringreasonablesupervision.
5.5.6 Whatisreasonablesupervisiondependsonanumberoffactorsincluding:
• thequalifications,experienceandcompetenceofthesupervisee
• therangeandtypeofworkbeingundertakenbythesupervisee
• thesizeandnatureofthepractice/service
• thetypesofsupervisionandsupportarrangementstheprincipalputsinplace.
Costsagreementsandrecoveryofcosts5.5.7 Legalprofessionlawsgenerallyregulatetheareaofcostsandcostsagreements34
andinsomestateorterritoryjurisdictions,specificcostslegislationexists.Thereisofcourseawealthofcommonlawoncostsaswell.Centresneedtoensurethattheyenterarrangementsthatcomplywithallrelevantlaw.
5.5.8 Recoveryoflegalcostsisanareathatregularlygivesrisetocomplicatedquestionsforcentres.Thereappearstobenothingpreventingacentreclaiminglegalcostsaslongasthecentrehas:
• aprincipalcertificatethatallowsforcostsrecoveryunderthelaw
• alawfulbasisforseekingcostsunderanyrelevantlegalprofessionorotherapplicablelaw.
5.5.9 Somefundingagreementsandgrantsoflegalaidrequirecentrestoclaimcostswherepossible.Ifacentreisactingforaclientontherecordinacostsjurisdictionitneedstoensurethatitcomplieswithanysuchcontractualobligationsandprotectstherighttheclientmayhavetorecovercostswithwhateveractionispermittedandrequiredinthatjurisdiction.
5.5.10 Thecentreshouldbeawareofanyfundingorserviceagreementobligationsinrespectofclaiming,reportingandexpenditureoflegalcosts.
trustmoneyandcontrolledmoney5.5.11 Somecentreshavetrustaccounts,somedon’t.Centresthatacceptmoneyfrom
oronbehalfofclients–ascontrolledmoniesorontrust–mustensurethatthereareadequateandlegallycompliantproceduresfordealingwithandaccountingforthosemonies.Centresmustrefertoanyrelevantlawincludingtheirlegalprofessionalrulesorregulationsfordetailsoftherequirements.Forthosethatdooperatetrustaccounts,legalprofessionlawsprovidefortheregulationoftrustmoneyandcontrolledmoney35.Ineachcasetrustorcontrolledmoneymustbedealtwithinaccordancewiththerelevantlawsineachjurisdiction.
34SeeforexampleACT:LegalProfessionAct2006ss279,282;NSW&Vic:LegalProfessionUniformLawss172,179-180;NT:LegalProfessionActss314,317;Qld:LegalProfessionAct2007ss319,322;SA:LegalPractitionersAct1981s41andsch3;Tas:LegalProfessionAct2007ss303,306;WA:LegalProfessionAct2008ss271,282.
35ACT:LegalProfessionAct2006ss221-233;NSW&Vic:LegalProfessionUniformLawss127-154;NT:LegalProfessionActss245-261;Qld:LegalProfessionAct2007ss247-262;SA:LegalPractitionersAct1981s25andsch2;Tas:LegalProfessionAct2007ss230-259;WA:LegalProfessionAct2008ss204-229.
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transitmoney5.5.12 Centresthatreceiveclientmoneyasmoneyintransitmustensuretheycomply
withthelegislativerequirementsdealingwithsuchtransitmoney36.Forexample,inNewSouthWalesandVictoriatheLegalProfessionUniformLawprovides:
140transitmoney
(1)Alawpracticethathasreceivedtransitmoneymustpayordeliverthemoneyasrequiredbytheinstructionsrelatingtothemoneywithintheperiod(ifany)specifiedintheinstructions,orelseassoonaspracticableafteritisreceived.Civilpenalty:50penaltyunits.
(2)Alawpracticemust,inrespectofmoneyreceivedbythelawpractice,recordandkeepbriefparticularssufficienttoidentifytherelevanttransactionandanypurposeforwhichthemoneywasreceived.Civilpenalty:50penaltyunits.
(3)Alawpracticemustkeeptheparticularsmentionedinsubsection(2)for7years.Civilpenalty:50penaltyunits.
5.5.13 Evenifnotexactlythesameasthelegislativeprovisionabove,thelegalprofessionregulationsinotherjurisdictionsrequirelawpracticesthatreceivetransitmoneyto‘recordandkeepbriefparticularssufficienttoidentifytherelevanttransactionandanypurposeforwhichthemoneywasreceived’.AccordinglyitisrecommendedthatcentresreceivingtransitmoneyhaveaTransitMoneyRegisterrecordingdetailsofthename,date,receiptandpayment/endorsement/deliveryandpurposeofeachtransaction.
5.5.14 Itisessentialtounderstandthedifferencebetweentransitmoneyandarrangementsandtrustmoneyandtrustaccountarrangements.
registeredMigrationagents5.5.15 Aperson,whetheralawyerornot,mustregisterasamigrationagentbefore
providingimmigrationassistance37orrepresentations.ThesetermsaredefinedintheMigrationAct1958(Cth).ThereareanumberoflegislativerequirementsforRegisteredMigrationAgents38.Insomecaseslawyersprovideimmigrationlegalassistance39,atermalsodefinedintheMigrationAct.WhereimmigrationAdvice,assistance,legalassistanceorrepresentationsarepartofthecentre’swork,theResponsiblePersonmustensurethattheformalrequirementsofthislegislationandassociatedregulationsaremet.Seealso6.5.1.
36ACT:LegalProfessionAct2006s225;NSW&Vic:LegalProfessionUniformLaws140;NT:LegalProfessionActs249;Qld:LegalProfessionAct2007s253;SA:LegalPractitionersAct1981sch2(17);Tas:LegalProfessionAct2007s247;WA:LegalProfessionAct2008s220.
37‘ImmigrationAssistance’isdefinedatsection276oftheMigrationAct1958(Cth).Itdefineswhatisandisn’timmigrationassistancethatrequiresregistration.
38MigrationAct1958(Cth)(particularlypart3oftheAct),MigrationAgentsRegulations1998(Cth),MigrationAgentsRegistrationApplicationChargeAct1997(Cth),MigrationAgentsRegistrationApplicationChargeRegulations1998(Cth).
39MigrationAct1958(Cth)s277.
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professionalObligationsIncludingConfidentialityandavoidingConflictsofInterestInthischapter:Introduction 70
6.2 Lawyers 70
6.3 Financialcounsellors 70
6.4 Socialworkers 70
6.5 Codesofconduct 71
6.6 Confidentiality 72
6.6.4 Contractualduty 72
6.6.5 Ethicalduty 72
6.6.7 Statutoryduty 73
6.6.8 Confidentialityandcloudcomputing 73
6.7 Conflictsofinterest 74
6.7.2 Whatisaconflictofinterest? 74
6.7.4 Lawyer-clientduties 75
6.7.6 Avoidingconflicts:centrepolicyandtraining 75
6.7.8 Acentrecannotactforbothpartiestoadispute 75
6.7.9 Canacentreeveractagainstaformerclient? 76
6.7.12 Whatisconfidentialinformationinthiscontext? 76
6.7.13 Whenindoubt–formerclients 76
6.7.14 Servicetypesandconflictchecks 76
6.7.28 Knowledgeofonelawyeristhesameasknowledgeoftheentirepractice 79
6.7.29 Volunteerlawyers,confidentialinformationandimputedknowledge 80
6.7.38 ManagementCommitteemembers 81
6.7.39 Changingjobs,locumsandconflictsofinterest 81
6.7.43 Secondmentsandconflictofinterest 82
6.7.46 Screeningforconflictsofinterest 83
6.7.74 Conflictofinterestinmulti-programagencies 87
6.7.80 Conflictofinterestinreferringmatterstovolunteerlawyers 90
6.7.83 Conflictofinterest–stafflawyerswhorunprivatepractices 90
6.7.88 Advisingcentrestaffandvolunteers;oradvisingothercentres 91
6.7.89 Confidentiality,conflictofinterestandactingforgroupsandassociations 92
6.7.91 Furtherinformationandgettingadvice 92
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6.1 Introduction Centrestaffandvolunteersmaybesubjecttoanumberofethicalandlegal
conductstandards,derivingfromarangeofsourcesincludinglegislation,commonlawand/ortheworker’smembershipofaprofessionorprofessionalassociation.Otherstandardsmaybeoptionalorvoluntary.Centremanagersmustrecognisetheseprofessionalobligationsandsupportstaffandvolunteersincomplyingwiththem.Seealso3.5.38-40.
6.2 Lawyers6.2.1 Thetraditionaldutiesofthelawyeraregenerallyseentoinclude:
• dutytothecourt
• dutytotheclient
• dutytotheotherpartyorparties
• dutytotheadministrationofjustice.
6.2.2 Theethicaldutiesoflawyerscanbedescribedas‘professionalresponsibilitiesandlegalethics’.Theyareoftencontainedinlegalprofessionrules,40howevercommonlawcanstillberelevant.
6.2.3 ThesedutieshavealsobeenincorporatedintotheAustralianSolicitors’ConductRules(ASCR),which,atthetimeofgoingtoprint,havebeenadoptedinNewSouthWalesandVictoriapertheLegalProfessionUniformLaw,andhavealsoseparatelybeenadoptedinQueenslandandSouthAustralia(althoughtheremaybesomedifferences).TheASCRmayalsobeadoptedinotherstatesandterritoriesandalllawyersshouldmakesurethattheykeepuptodatewithdevelopmentsintheirownjurisdictions.See1.7.
6.3 Financialcounsellors6.3.1 Financialcounsellorsarerequiredtocomplywithprofessionalassociationcodes,
asystemofaccreditationbystateorterritoryassociations(inmostjurisdictions)andtomeettheexemption(fromlicensing)requirementsundertheASICClassOrderfortheFinancialServicesReformAct2001(Cth)andtheexemptionrequirementsundertheNationalConsumerCreditProtectionAct2009(Cth).Anypersonpractisingasafinancialcounselloratacentre,whetherasanemployedworkerorvolunteer,mustcomplywithallsuchmeasuresandrequirementsthatapplyintheirjurisdiction.
6.3.2 TheAustralianSecuritiesandInvestmentsCommission(ASIC)hasgrantedconditionalrelieffromlicensingrequirementsundertheCorporationsActtofinancialcounsellingagenciesthatmayprovidefinancialproductadviceaspartofafinancialcounsellingservice.
6.4 Socialworkers6.4.1 AcentreworkerwhoisaqualifiedsocialworkerandisamemberoftheAustralian
AssociationofSocialWorkers(theAASW)isrequiredtofollowthecodessetoutbytheAASW.SocialworkerswhoarenotmembersoftheAASWarenot
40IntheACT:LegalProfession(Solicitors)ConductRules2015;inNSWandVic:LegalProfessionUniformLawAustralianSolicitors’ConductRules2015;intheNorthernTerritory:RulesofProfessionalConductandPractice;inQueensland:AustralianSolicitorsConductRules2012;inSouthAustralia:AustralianSolicitors’ConductRules(SAversion);inTasmania:TheRulesofPractice1994;inWesternAustralia:LegalProfessionConductRules2010.
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subjecttotheAASW’sauthority.MembersoftheAASWretainprofessionalindemnityinsurancebyvirtueoftheirmembership.ForinformationabouthowthisinsuranceworksalongsidetheNationalPIIPolicy,seethesectiononDoubleinsuranceat4.10.
6.4.2 Codesofethicsapplytoworkerswhoarethesubjectoftheparticularcode;theydonotapplytoorganisations.Itisimportanttonote,however,thattheyarerelevanttothewholeorganisationintermsofproperemployeesupport,qualityclientservice,riskminimisation,riskmanagement,goodgovernanceandqualityassurance.Anorganisationand/oritsmanagementthathasmadenoattempttoensurethatacodewascompliedwith,whethermandatoryornot,mayleaveitselfopentolitigationandpotentialliabilityoverabreachofthecode.
6.4.3 Forexample,anorganisationthatemployedsocialworkerstooffercounsellingbutdisregardedthesoundguidanceprovidedbytheAASWcodeofethics,whetherornotitssocialworkerswereobligedtocomplywiththecodeofethics,wouldbeignoringgoodriskmanagementpractice.Suchanorganisationismorelikelytofinditselfatriskofallegationsofnegligence,breachofcontractandbreachofotherduties,and/orthatitoperatesinanunprofessionalandunethicalmanner.
6.4.4 Othersimilarlyqualifiedworkersmustalsocomplywiththerelevantindustrycodeswheretheyholdmembershipofprofessionalassociations.NotethattheAustralianPsychologicalSocietysetsoutverydetailedcodesofethicsthatdealwithgeneralandspecificissues.
6.5 Codesofconduct6.5.1 Likecodesofethics,codesofconductarewidespreadandapplytomany
professionsandcommunityworkers.Codesofconductcanbeall-encompassingorspecificandparticular.TheMigrationAgentsRegistrationAuthorityhasageneralcodeofconductthatappliestoallRegisteredMigrationAgentsinAustralia.41Thatcodeofconductcoversarangeofsubjectsincluding:
• standardsofprofessionalconduct
• obligationstoclients
• relationsbetweenRegisteredMigrationAgents
• feesandcharges
• recordkeepingandmanagement
• financialduties
• dutiesofRegisteredMigrationAgentstoemployees
• complaints
• terminationofservices
• clientawarenessofthecode.
6.5.2 TheAustralianCounsellingAssociationhasacodeofconductthatcovers:
• responsibility
• anti-discriminatorypractice
• confidentiality
41AustralianGovernment,DepartmentofImmigrationandBorderProtection,CodeofConductforRegisteredMigrationAgents,1July2012.
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• contracts
• boundaries
• competence.42
6.5.3 Adherencetocodesofconductcanbeenforcedwhereacentreworkerisamemberofanassociationthathastheauthoritytoenforceaparticularcodeofconductorwhereacentreworkerworksinanareathathasamandatorycodeofconduct.Adherencecannotbeenforcedwhereacentreworkerisnotamemberofaprofessionoranassociationthathastheauthoritytoenforcetheparticularcodeofconduct.
6.6 Confidentiality thisisaMandatoryStandard.
6.6.1 Confidentialityimplies‘[a]relationshipbetweentwoormorepersonsinwhichtheinformationcommunicatedbetweenthemistobekeptinconfidence’.43Adutyofconfidentialitycanarisefromanumberofsourcesincludingbutnotlimitedto:
• acontractualdutythroughaserviceagreement,employmentcontractorclientagreement
• anethicaldutyinformedbyacodeofethicsorcodeofconduct
• astatutorydutygovernedbyprofessionalregulationoraparticularlegislativescheme
• afiduciarydutyarisingfromthesolicitor/clientrelationship
• underequity’sexclusivejurisdiction.
6.6.2 Thedutyofconfidentialityappliestoallclientsofthecentre,includinganyclientsofaspecialist,auspicedorhostedproject,programorserviceofthecentre(see7.10)anditapplieswhetherinformationisobtainedbyalawyerornon-lawyer.
6.6.3 Wherecircumstancesarisethatcauseacentreworkerorvolunteertobelievethattheyareunderanoverridingduty,suchasalegalrequirementthatcertainmattersbenotified,theyshoulddiscussitwiththecentre’sResponsiblePerson.
Contractualduty6.6.4 Centreshaveacontractualdutytokeeptheirclients’recordsandinformation
confidential,exceptwherepermittedorauthorisedbylaw,orbecauseofoverridinglegaldutiesorwheretheclienthasgiventheirinformedconsenttoparticulardisclosure.Thisisasidefromtheprofessionaldutiesowedbylawyersandsocialworkersorcounsellors.
ethicalduty6.6.5 Ethicaldutiesofconfidentialitymayarisefromoneoftheethicalandconduct
frameworkssuchascodesofconduct,codesofethics,guidelinesorbyvirtueofmembershipofaparticularprofessionorprofessionalassociation.Anumberoffactorswilldetermine:
• whethertheconfidentialityisenforceableorunenforceable
• againstwhomtheconfidentialitywillbeenforced
42AustralianCounsellingAssociation,CodeofEthicsandPractice,Version8,July2012. 43LexisNexis,EncyclopaedicAustralianLegalDictionary(asat31January2017)‘Confidential
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• thescopeandlimitsoftheconfidentiality
• theconsequencesforbreachofconfidentiality.
6.6.6 Forlawyers,thedutyofconfidentialitymeansthatlawyersmaynotdisclosetoathirdpartyanyclientinformationthathascometothemintheirprofessionalcapacityandinthelegitimatecourseoftheirprofessionalemployment,unlesspermittedorauthorisedbylaworwiththeclient’sconsent.Aspartofthelegalandrelatedpractice,allstaffandvolunteerswithinthecentreshouldregardthemselvesasboundbythisduty.TheResponsiblePersonandcentremanagementshouldensurethatallcentreworkersandvolunteersareawareofthisduty,andthatitismadecleartothematthetimeofinduction.
Statutoryduty6.6.7 ThedutyofconfidentialityisreflectedinLegalProfessionRules.44
Confidentialityandcloudcomputing6.6.8 Cloudcomputing(forexample,computingservicesoperatedoverandaccessed
viatheinternet)45isbecomingincreasinglycommon.Manylegalpracticesincludingcentresalreadyusecloud-basedandotherinternetproducts,suchasvariousemail,socialmediaanddocumentstorageplatforms,and,nowanumberofcentreswillbeusingCLASS,acloud-baseddatasystemtorecordandstoretheirclientandservicedata,andforreportingtogovernmentfundersandotherstakeholders.
6.6.9 Centresusingcloudservicesshouldbeawareofthepotentialrisksthatcomewithsuchuseinrelationtoclientconfidentiality,clientlegalprivilege,privacy,lossofdata,securitybreaches,andoutages(causinganinabilitytoaccessdata)–justastheyshouldbeforanydatasystemtheyuse.46Centresusingorconsideringusingcloudcomputingwillneedtoconsiderthepossiblerisksandensurethatappropriatesecurityandriskminimisationandmanagementmechanismsareinplace.
6.6.10 Whetherusingthecloud,orretainingthirdpartyITserviceproviderstomaintainandsupporttheirownlocaldatasystems,centresmusttakeactiontoprotectconfidentialinformation.Asageneralisation,disclosuretoanITproviderispermittedwhenthedisclosureorpossibledisclosureismadeforthepurpose
44ACT:LegalProfession(Solicitors)ConductRules2015r9;NSWandVic:LegalProfessionUniformLawAustralianSolicitors’ConductRules2015r9;NT:RulesofProfessionalConductandPracticer2;Qld:AustralianSolicitorsConductRules2012r9;SA:AustralianSolicitors’ConductRules(SAversion)r9;Tas:RulesofPractice1994r11(1);WA:LegalProfessionConductRules2010r9.
45TheAustralianGovernmenthaswidelyadoptedtheUSGovernment’sNationalInstituteofStandardsandTechnology(NIST)definition,whichstates:
CloudcomputingisanICT[Informationandcommunicationstechnology]sourcinganddeliverymodelforenablingconvenient,ondemandnetworkaccesstoasharedpoolofconfigurablecomputingresources(e.g.networks,servers,storage,applicationsandservices)thatcanberapidlyprovisionedandreleasedwithminimalmanagementeffortorserviceproviderinteraction.
See:AustralianGovernment,TheDepartmentofFinanceandDeregulation,CloudComputingStrategicDirectionPaper:OpportunitiesandapplicabilityforusebytheAustralianGovernment,Version1.1(releasedApril2013)at9,availableat:<http://www.finance.gov.au/files/2013/04/final-_cloud_computing_strategy_version_1.1.pdf>(accessed31January2017).Forafurtherdiscussionofwhatconstitutes‘cloudcomputing’,seealso:LawSocietyofWesternAustralia,EthicalPracticeandGuidelines(25August2015),at53-55.
46Onsomepotentialrisksforusingcloudservicesinparticular,see,eg:AustralianGovernment,Attorney-General’sDepartment,InformationSecurityManagementGuidelines:RiskmanagementofoutsourcedICTarrangements(includingCloud)Version1.1(amendedApril2015)at11-12,availableat:<https://www.protectivesecurity.gov.au/informationsecurity/Documents/AustralianGovernmentInformationSecurityManagementGuidelines.pdf>(accessed31January2017).
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ofthecentreprovidinglegalservicestotheclientanditisdonesubjecttoaconfidentialityagreementbetweentheproviderandthecentre.However,ResponsiblePersonsshouldconsulttheirownjurisdiction’srulesandensurecompliance.ResponsiblePersonsandcentresshouldalsoconsidertheactionstheircentreshouldtaketoprotectconfidentialityinthiscontext,includingforexamplesigningaconfidentialityagreementwiththeproviderandobtaininginformedconsentfromclients.47
6.6.11 Asforanyotherinformationstoringordocumentmanagementsystem,centresshouldensurethattheircloudcomputingsystemsallowfortailoredaccesstoclientinformationwithinthecentre(forexample,throughindividualallocatedpermissions,separatelogins,passwords,confidentialityagreements,etc),sothatonlyauthorisedemployeesandvolunteershaveaccesstoconfidentialclientinformationandonaneedtoknowbasis.
6.6.12 Thereareadditional,seriousconsiderationswhereacentreusescloudcomputingoranyotherinternet-basedserviceorapplicationandtheinfrastructureislocatedorpermitsthedatatobe‘sent’outsideofAustralia,forexampleitmaybecaughtbythePatriotsActorbeparticularlyvulnerabletoattackincertainoverseasjurisdictions.48Note,alldatainCLASSwillbestoredinAustralia.
6.7 Conflictsofinterest6.7.1 TheconflictofinterestproceduresinvolveMandatoryStandardsincludingthat:
• centresmustavoidconflictsofinterest;
• centresmusthaveaconflictofinterestpolicy(see6.7.6);and
• centresorservices/programs/projectsthatprovideLegalAdviceandanyotherDiscreteAssistanceorOngoingAssistanceServicewherethereisasolicitor/clientrelationshiporthatareprovidedwithinthelegalpractice,mustconductafullconflictofinterestcheckbeforegivingthatLegalAdvice(whethertheadviceisgiveninperson,onthetelephone,orbyothermeans)orprovidingtheotherDiscreteAssistanceService(otherthanInformationorReferral)orOngoingAssistanceService.Therearesomeverylimitedsituationswhereafullconflictcheckisnotrequired.Thesearesetoutat6.7.58-69.
Whatisaconflictofinterest?6.7.2 Aconflictofinterestinrelationtoalegalpracticeinvolvesasituationwherea
lawyerhasormayhavecompetingprofessionalorpersonalinterests.Itisproperlydescribedasaconflictofdutiesasitreferstothedutyofconfidenceandloyalty,afiduciaryduty.Competinginterestscanmakeitdifficultforalawyertofulfiltheirdutiesimpartially,andthelawyerhasanobligationtoavoidsituationswherethismayoccur(apotentialconflict)ordooccur(anactualconflict).Aconflictofinterestcanexistevenifnounethicalorimproperbehaviourresultsfromit.Itcaninclude:
47See,eg,LawCouncilofAustralia,CyberPrecedent:strengtheningthelegalprofession’sdefenceagainstonlinethreats<http://lawcouncil.asn.au/lawcouncil/cyber-precedent-home>(accessed31January2017);andLawSocietyofWesternAustralia,EthicalandPracticeGuidelines(25August2015)at57.Seealso:non-bindingPracticeNotesfromtheOfficeoftheLegalServicesCommission(NSW)oncloudcomputingandoutsourcing,availableat:<http://www.olsc.nsw.gov.au/Pages/olsc_education/olsc_education_notes.aspx>(accessed31January2017);andJustinEdwards,‘Cloudcomputingservices:Professionalobligationsandethics’(Apr2016)43(3)Brief32,at34.
48See,eg,LawSocietyofWesternAustralia,EthicalandPracticeGuidelines(25August2015)at56.Seealso:AustralianGovernment,Attorney-General’sDepartment,InformationSecurityManagementGuidelines:RiskmanagementofoutsourcedICTarrangements(includingCloud)Version1.1(amendedApril2015)at11-12,availableat:<https://www.protectivesecurity.gov.au/informationsecurity/Documents/AustralianGovernmentInformationSecurityManagementGuidelines.pdf>(accessed31January2017).
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• actingagainstaformerclient–asuccessiveconflict
• actingformorethanonepartyinacurrentdispute–aconcurrentconflict.
Onemustguardagainsttheissuearisinginallmannerofcircumstancesincludingapersonpresenting:
• whose‘OtherParty’isanex-client
• whoseOtherPartyisacurrentclient
• whowasanOtherPartytoanex-client
• whoisanOtherPartytoacurrentclient.
6.7.3 Ineachcasetherelevantpastandcurrentfilesmustbecarefullyscrutinisedtodeterminewhetherthecentrewillcompromiseanyclient’spositionbythepersonpresentingbecomingaclient.
Lawyer-clientduties6.7.4 Alawyerowesdutiestotheirclientto:
• acthonestlyandfairlyintheclient’sbestinterests
• maintainconfidentialityoftheclient’sconfidentialinformation
• avoidconflictsofinterest.
6.7.5 Alawyeralsoowesadutytothecourttoensuretheproperadministrationofjustice.Inrarecases,thisdutymightpreventalawyerfromactingforaclientwheretodosowouldunderminetherequirementtoensurethat‘justiceisdoneandseentobedone’.Thiscouldincludeasituationwherecircumstancesmayreasonablygiverisetoaperceptionofapotentialconflictofinterestevenwherethereisnoactualconflictofinterest.Thereasonforthisisthatthepublic’sfaithintheadministrationofjusticeisofprimaryimportance.
avoidingconflicts:centrepolicyandtraining6.7.6 Acentremusthaveapolicydealingwithconflictsofinterestandconflict
checkingfortheprotectionoftheirclients,potentialclientsandthecentre.SeethediscussionbelowandseeappendixGforasampleconflictofinterestpolicy.Thepolicymustcoveranybranchofficeandanyspecialist,auspicedorhostedproject,programorserviceofthecentre(see7.10).EvencentresandservicesthatonlyeverprovideInformationandReferral–Servicesofageneralnaturethatthesolicitor/clientrelationshipdoesnotarise-musthaveaconflictofinterestpolicytoensurethattheirworkersareawareoftheseissuesandtheriskmanagementparametersinwhichtheyneedtooperate.
6.7.7 Allstaff(employedandvolunteer)andmanagementmustbetrainedtoidentifypotentialconflictsofinterest,andbeawareoftheircentre’sconflictofinterestpolicyandprocedures.Thesubjectmustbecoveredduringtheorientationofnewstaff(employedandvolunteer)andManagementCommitteemembersandmustbereinforcedregularly.Seealso8.7.9-10.
acentrecannotactforbothpartiestoadispute6.7.8 Thedutytoactinaclient’sbestinterestsprohibitsacentrefromactingforany
otherpartywithinterestsadversetothoseofacurrentclient.Insimpleterms,thismeansthatacentrecannotactforopposingpartiesinamatterlikeaninterventionorderapplication,debtormotorvehicleaccident.
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Canacentreeveractagainstaformerclient?6.7.9 Acentremustalsorefusetoactagainstaformerclientwherethecentrehas
relevantconfidentialinformationaboutthatclientfromtheformermatter,whichmaybeusedagainstthem.Inthiscase,thedutyofconfidentialitytotheformerclient(toprotecttheirconfidentialinformation)conflictswiththedutytoactinthebestinterestsofthenewclient(whichcouldinvolveusingorhavingtomakeadecisionastowhethertouse,theformerclient’sconfidentialinformation).Soacentreisnotautomaticallypreventedfromactingagainstaformerclient.Itispreventedfromdoingsowhenithasconfidentialinformationabouttheformerclientthatcouldberelevanttothenewclient’smatter.
6.7.10 Onestartingpointtoidentifyconflictsofinterestinvolvingformerclientsistoaskthefollowingquestions:
• doesthecentrehaveanyconfidentialinformationabouttheformerclient?
• isitrelevantorpossiblyrelevanttothenewmatter?
Ifyouanswer‘yes’toeachofthesequestions,yourcentrehasaconflictandcannotactinthenewmatteragainsttheformerclient.
6.7.11 Anotherrelevantquestiontoconsidermightbe:couldtheformerclientreasonablyperceivethatanyconfidentialinformationheldbythecentrecouldbeusedtotheirdetriment?Ifso,thismaypointtoapotentialconflictandtheResponsiblePersonwillhavetodecidewhetherornotitisamatterthatthecentrecanactin.
Whatisconfidentialinformationinthiscontext?6.7.12 Confidentialinformationgainedinthecourseofactingforaclientinanearlier
mattercansometimesgobeyondthestrictconfidentialinformationdisclosedinthecourseofthematter,toincludewhatcanbedescribedas‘gettingtoknowyou’factors,suchastheclient’shonesty,theirstrengthsandweaknesses,theirtacticsortheirattitudetolitigation.Ithasbeensuggestedbyoneacademiccommentatorthat‘thefactorsshouldbeconfinedto“impressions”obtainedbyalawyeroftheclient’sapproachtolitigation,or,inthecaseofnon-contentiousmatters,commercialnegotiation’andthat‘[s]uchimpressionswillonlymeetthenecessarylevelofparticularityofconfidentialinformationifitcanbeestablishedthatthelawyerandtheclienthavehadalongcourseofdealingwhichhasenabledthelawyertoformlasting,accurateandusefulimpressions’.49
Whenindoubt–formerclients6.7.13 Ifindoubtastowhetherornotthecentreholdsconfidentialinformation
concerningaformerclient,orifconfidentialinformationisheldbutitisnotclearwhetheritisrelevanttothenewmatteroraction,thecentreanditslegalpractitionersshouldnotactagainsttheformerclient.Thisisparticularlythecaseinfamilylawmatterswherecourtshavetakenastricterviewofconflictofinterest.
ServicetypesandconflictchecksOverview
6.7.14 InCLSIS,becausetherewerefewerservicetypesitwaseasiertoidentifythetypesofservicewherethesolicitor/clientrelationshipoperated,andwhereitdidnot.Themostcommonsituationwherecentresencounteredthisdistinctionin
49SandroGoubran,‘ConflictsofDuty:ThePerennialLawyers’Tale–AComparativeStudyoftheLawinEnglandandAustralia’,(2006)30(1)MelbourneUniversityLawReview88at104.
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practicewasinrelationtotheprovisionoflegalInformation,wheretheservice-providerprovidesapersonwithgeneralinformation,notrelatedtotheirparticularfactsituation(incontrasttoaLegalAdvice).
6.7.15 ThepreviouseditionoftheGuidemadeclearthatacentrecouldprovideanInformationServicewithoutbeingobligedtoconflictcheckfirst(andhencewasnotrequiredtocollectandrecordtheperson’sname,butcould),butforanytypeofservicewherethesolicitor/clientrelationshipwouldbeinoperation–suchasforprovidingLegalAdvice–thecentremustconflictcheckbeforeprovidingtheservice.
6.7.16 InCLASS,formanyoftheServicesitwillbeeasilyapparentwherethesolicitor/clientrelationship–andtheobligationtoconflictcheckbeforeprovidingtheservice–operates.
6.7.17 However,giventhechangetopreviousCLSISservicetypesanddefinitionsinCLASS,theResponsiblePersonandcentreswillneedtocarefullyconsiderthepositioninrelationtoeachoccasionofsometypesofservicesandensurethattheyarefamiliarwiththerelevantpartsoftheDSMthatdealwithdataitemsrelevanttoconflictchecking.
Furtherinformation
6.7.18 CLSISrequiredacentretorecordtheclient’snameand‘OtherParty’informationwhenthecentreprovidedAdvicetoaclientorprovidedOngoingAssistance,called‘casework’inCLSIS–thatis,wheneverthecentrewas‘actingfor’thepersonandhada‘solicitor/clientrelationship’withthem.ThisrelationshipanditsattendantobligationscouldoccureveniftheAdviceorotherServiceswerenon-legal.CLASS,operatessimilarlyintermsofhowtoconflictcheck.
6.7.19 ThisGuiderecognisedhoweverthattherewerecertaintypesofServicesforIndividualsthatcentresprovidedthatwerebynaturemoregeneral,anddidnotrequiredetailedunderstandingoftheperson’ssituationandproblem,northeapplicationoflegalknowledgeoropiniontotheparticularfactsofthatpersonortheirproblem.ItwasrecognisedthattheprovisionofanInformationorReferralServicewereinthiscategory,andthataServiceProvidercouldprovidesuchaServicewithoutaretainerandoutsidethesolicitor/clientrelationshipanditsduties.Forthatreason,centreswerenotrequiredtorecordthenameofthepersonseekingassistanceorthe‘OtherParty’(althoughsomecentresdid,ordidinsomeinstances),andtherewasnoobligationtoconflictcheck.CLSISallowedfortherecordingofsomedatasuchasnumberofServicesforInformationandReferrals,withoutclientname,addressorotherdemographicdata.CLASSwillalsoallowforthis.
6.7.20 ThepreviouseditionofthisGuideacknowledgedthat:50
Therecanbeablurredlinebetweeninformationandadvice(includinglegalandnon-legaladvice).Generallyspeaking,‘information’referstoprovidingfactualinformationthatisofgeneralapplication.Itmayincludegivingapersonarelevantbrochure,factsheetorotherlikematerial.Itmayinvolveobtainingsomeinformationfromthepersonabouttheirparticularcircumstancesinordertoensurethattheinformationand/orreferralsprovidedarethemostappropriate.Obtainingsomeparticularfactsaboutanindividualandgivingmoretargetedorspecificinformationand/orreferralbasedonthatinformationmaystillberegardedasinformationandreferral...
50NACLC,RiskManagementandCLCPracticeGuide2012,paras6.7.14-16.
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Sometimestheprovisionofinformationand/orreferralinvolveslittletimeandminimalclientinteraction,forexample,someonecallsacentreandasksforaservicethattheCLCdoesnotprovideandareferralisgiven,withlittlediscussionabouttheperson’scircumstances.Othertimesthough,theprovisionofinformationcanbeasubstantiallymoreinvolvedprocess.Apersonmaycomeintotheserviceveryupsetandaworkerspendsasignificantamountoftimewiththatperson,listeningtothem,offeringsupport,discussingtheirsituationtoenabletheworkertomakeawarmreferral,andperhapsevensendingcorrespondenceoremails.Thispersonmaynevergettothepointwheretheyreceiveadviceorcaseworkassistancebut,bydintoftheinformationtheyhave‘shared’,theymayhavebecome,ormaythemselvesfeeltheyhavebecome,aclientofthecentre.Ineitherofthesesituations,asamatteroflaw,somelevelofretainermayhavebeenimplied,givingrisetoadutyowedtothatpersonbythecentre.Theamountoftimespentwithapersonisnotnecessarilydeterminativeofwhethersuchadutyarises.
Itisimportantthatcentrestaffandvolunteersaretrainedtorecognisethat:
• insomecasesduringthecourseofprovidinginformationand/orreferraltoaperson,thatpersonmaydiscloseconfidentialinformationtotheCLCofakindortoadegreethatwouldprecludethecentrefromgivingadvicetooractingforanotherpersoninthesameorarelatedmatterorfromadvisingoractingagainstthepersoninafuturematter(hencetheseworkersneedtobetrainedaboutthecriteriaforthistypeofconfidentialinformation)
• ifacentrehasreceivedconfidentialinformationofthiskind,oriftheinteractionhasclearlygonebeyondmereinformationandreferral,simplyadministrativelydescribingtheactivityas‘information’orreferraldoesnotavoidthecentre’sobligationtoavoidactinginconflict
• whereitappearstoaworkerprovidinginformationand/orreferraltoapersononbehalfofacentre,oronbehalfofaserviceauspicedorhostedbyacentre,thattheinteractionmaybemovingbeyondinformationandreferral,theworkershouldbringahalttotheinteraction.Aconflictcheckmustbeconductedbeforeprovidingadvice
• ifapersondisclosesconfidentialinformationofakindortoadegreethatwouldorshouldprecludethecentrefromadvisingoractingforanotherpersoninthesameorarelatedmatterorfromadvisingoractingagainstthepersoninafuturematter,evenifitwasintendedtoprovidethemonlywithinformation/referral,itismandatorythattheclient/personandotherpartydetailsareenteredintoCLSISorwhateverotherdatabaseisusedsothatanyconflictwillappearonthedatabaseifanotherpartytothematterseeksassistanceorapersonseeksthecentre’sassistanceinadisputeagainsttheperson.OnCLSISthiscanonlybedonebyrecordingitasanadvice.Itcanberecordedasanon-legaladvice.
6.7.21 TheissuesidentifiedandtheactiontobetakensetoutintheaboveextractfromthepreviouseditionoftheGuide,arestillapplicable.InCLASS,itispossibleforaServiceProvidertorecordanInformationorReferralbeingprovidedandalsorecordthenameofthepersonandAdditionalParty/iesifthecentredeemsthisappropriate.
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6.7.22 However,givenCLASSisbasedontheDSManditsclassificationanddefinitionsofServices,whichasoutlinedthroughoutthisGuide,differfromCLSIS,PrincipalLawyersandcentreswillneedtocarefullyconsiderthepositioninrelationtoeachoccasionofsometypesofservices.
Consultationwithotherlawyersoragencies
6.7.23 Anothersituationwhereitiscriticaltoremainvigilantlyawareofthisissueiswhereacentrelawyerconsultsanotherlawyeroragency,forexampleaspecialistCLCaboutthematter,orsomeaspectofthematter.Itisacommonandimportantpracticeofcentreworkers,andlawyersgenerally,toconsultotherexpertsaboutlegalorotherspecialistissues,andclientsbenefitagreatdealfromthiscombinedexperienceandexpertisebeingbroughttotheirproblems.Oftenthesediscussionsareheldinsuchawaythattheclientisnotandcannotbeidentified,andthereisnodisclosureofindividualinformationthatwouldbreachclientprivilegeorgiverisetoaninference(oractuality)ofthesecondlawyerbeingregardedasactingfortheclient.Inthesesituations,theexchangecanberegardedasanalogoustothesecondlawyerproviding‘Information’andthereisnonecessitytoconductafullconflictcheck.
6.7.24 Onoccasionsthough,theinformationprovidedortheinformationcommunicatedinresponsewillbesufficienttomeanthatthesituationmustberegardedasthesecondlawyerprovidingLegalAdviceandthatthereisariskofaconflictofinterest,andthusafullconflictofinterestcheckmustbedonebeforethesecondlawyerproceedstoprovideLegalAdvice.
6.7.25 Therearearrangementsthatmaytosomedegreeavoidtheriskofaconflictoccurringwhenthesecondlawyerisadvisinganothercentreoragency,forexample,insomeinstancesthecentreoragencyconsultingtheexpertmaybethe‘client’,and/ortheremaybeanagencyrelationship.Evenso,reasonablestepswillstillhavetobetakentoensurethataconflictwon’toccur.IfthesecondlawyerprovidesLegalAdvicetoothercentresoragencies,ortothepublicdirectly,itishardtoseehowthepossibilityofaconflictoccurringcanbeavoidedunlesstheyobtainthedetailsofthepersonattendingthefirstcentre/agency,and(whereapplicable)anyotherparties,andundertakeaconflictcheck.
6.7.26 Ifthesecondlawyer(thatistheoneconsultedbythecentrelawyeroragencywhoisindirectcommunicationwiththeclient)doesnotundertakeafullconflictcheck,theymayinadvertentlyadviseapersonwheretheyhave,orcouldinthefuture,alsoadviseanotherpartytothatmatter,orcould,ifthepersonweretosubsequentlycometotheircentreandprovidethemwithallthefacts,providedifferentLegalAdvice.Thesepossibilitiescanonlybeavoidedbythelawyernotadvisingunlessanduntiltheyhaveobtainedalltherequisiteinformationandconductedafullconflictcheck.
6.7.27 CLSISwasandCLASSisaveryvaluabletoolforthoroughconflictcheckingandsoundriskmanagement,andthepotentialofsystemswiththesetypesoflegalpracticemanagementfunctionstoassistcentresingoodpracticemanagementshouldbeutilisedasmuchaspossible.SeeChapter8fordetailsregardingtheuseofCLASSandotherdatasystemsinconflictchecking.
Knowledgeofonelawyeristhesameasknowledgeoftheentirepractice
6.7.28 Thegeneralruleisthatthesameknowledgeofconfidentialclientinformationisimpliedofalllawyersinalegalpracticeevenonlyifonelawyerinthepracticehasthatknowledge.Thisisnotauniversalruleanditcanberebuttedinlimitedcircumstances.Theprudentapproachforsmalllegalpracticeslikecentres,isto
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proceedonthebasisthatalllawyersareimpliedtohavethesameknowledgeofclientinformation.Theexceptiontothisisforvolunteerandsecondedlawyers(seebelow).
Volunteerlawyers,confidentialinformationandimputedknowledge6.7.29 Legalassistanceserviceproviders,particularlycommunitylegalcentres,rely
heavilyontheworkofvolunteerlawyers,mostofwhomareemployedinotherlegalpractices.Particularrisksaroundconflictofinterestariseinthesecircumstancesandcentresneedtotakestepstoavoidsuchconflicts.Theperceptionofconflictcanalsoarisehereandcentresideallyshouldtakestepstoprotectpublicconfidenceintheircentreandinthesectorgenerally,byseekingtoavoidanypotentiallyadverseperception.
Example
DomenicoworksfortheSunshineofficeofamulti-officefamilylawfirm,Pride&Associates.HealsovolunteersattheSunshineCLConenightafortnight.AwomanseeksLegalAdvicefromtheSunshineCLCstafflawyersonafamilylawmatter.TheMelbourneofficeofPride&AssociateshasprovidedLegalAdviceonthesamemattertothewoman’sex-partner.NeitherDomeniconortheCLC’sstafflawyersarepersonallyawarethattheex-partnerhasreceivedadvicefromanotherlawyeratPride&Associates.Inthissituationasuggestedapproachis:
- DomenicowouldhavesignedaconfidentialityagreementwhenhestartedvolunteeringatSunshineCLC
- PriortotheadvicesessionDomenicocouldbesentalistofnamesofclientswhohadbookedappointmentsatSunshineCLCtoconductaconflictcheck
- IfthepotentialconflictisidentifiedSunshineCLCcouldensureanothervolunteerseesthewoman.
Eachcasewillhavetobeconsideredonitsfacts.
6.7.30 Insomejurisdictions,forexample,Victoria,itispermitted,asariskminimisationstrategy,toestablishan‘informationbarrier’51torebutthepresumptionthatavolunteerlawyerhasthesameimpliedknowledgeofclientconfidentialinformationasallotherlawyersinthecentre.Inthisconstruct,theinformationbarrierlimitsthevolunteerlawyer’saccesstoinformationconcerningtheclientstowhomtheparticularlawyerisprovidingadvice,andexcludesaccesstoinformationconcerningthecentre’sotherclients.
6.7.31 Tobeeffective,aninformationbarrierwouldhavetoeffectivelyscreenthevolunteerlawyersawayfromallotherconfidentialclientinformationsothatthereisnorealandsensiblepossibilityofthemisuseoftheconfidentialinformation.Practicalstepstoestablishthisbarriermustinclude:
51SeetheInformationBarrierGuidelines(2015)producedbytheLawSocietyofNewSouthWales,availableat:<https://www.lawsociety.com.au/cs/groups/public/documents/internetcontent/1088899.pdf>(accessed31January2017);aswellastheprevious2006versionproducedinconsultationwiththeLawInstituteofVictoriaandadoptedbytheQueenslandLawSociety,availableat:<https://www.liv.asn.au/PDF/Practising/Ethics/2006GuideInfoBarrier.aspx>(accessed31January2017);<http://www.qls.com.au/Knowledge_centre/Ethics/Resources/Conflicts_concerning_former_clients/Information_Barrier_Guidelines_LIV_LSNSW_adopted_by_QLS_Council>(accessed31January2017);andsummarisedhere:<http://www.liv.asn.au/PDF/Practising/Ethics/2010InformationBarrierGuidelines>(accessed31January2017).
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• awrittenpolicyandvolunteeragreementsthatprovidethatvolunteerlawyerswillnotaccessthecentre’sclientdatabaseorthecentre’sclientfilesotherthanthosethevolunteerisworkingon
• practicalmeasurestoensurethatthisdoesnotoccureveninadvertently.
6.7.32 Ifaclientseeksadvicefromavolunteerlawyeratacentre,andthevolunteerlawyerisawarethattheirotherpracticehasreceivedrelevantconfidentialinformationfromandpossiblyprovidedadvicetotheotherpartytothematter,thelawyermustnotpersonallyprovideAdvicethroughthecentre’spractice.ThecentremustalsonotprovideAdvicethroughadifferentlawyerunlessithasaneffectiveinformationbarrierquarantininganyknowledgeofthemattertothatvolunteerlawyer.
6.7.33 Importantly,theinformationbarriertypeofarrangementmaynotbeacceptableinsomejurisdictionsandanycentrecontemplatingadoptingitshouldfirstchecktherelevantlawintheirstateorterritory.
6.7.34 Arecommendedoptiontomanagetheriskofconflictsis,whereverpossible,toprovidevolunteerlawyerswithanadvancelistofclientstheywillbeseeingatthecentre.Thisallowsthelawyerstoconductconflictchecksattheirownfirmtominimisetheriskofpotentialconflicts.Thevolunteeragreementshouldprovidethatthelawyerisrequiredtokeeptheclientlistconfidentialandonlyuseitforthepurposesofscreeningtoavoidconflicts.Thisoptionwillnotbefeasibleforthosecentresthatoperate‘dropin’clinicswherethenamesoftheclientsarenotknowninadvance.
6.7.35 Itmayalsobehelpfulforthecentretomakesurethatclientsattendingthecentreknowabouttheuseofvolunteerlawyersfromotherlegalpracticesandthatthelawyersareunderadutynottodiscloseanyconfidentialinformation,ineitherworkplace,thattheyhavegainedintheother.Thismayhelpavoidclientconcerns.
6.7.36 Onepracticalstepistoaskandprovidetothevolunteerlawyersthenameoftheotherpartyandtheotherparty’slawyers–ifknown–inadvanceofthevolunteerseeingaclient.Thiswaythevolunteerisabletoseeifthereisafirmconflictrightaway.Thisisanexampleofareasonablesteptoavoidactualandperceivedconflictsinvolunteersessions.
6.7.37 ItshouldbenotedthattheruleofimputedknowledgewillhaveobviousandimmediateconsequenceswherelawyersemployedbycentresorLegalAidCommissionsvolunteerinanotherservice.Insomecircumstancesitmaybepracticallyimpossibletohaveanyeffectiveinformationbarriertodealwiththis.
ManagementCommitteemembers6.7.38 Itispossibleforapersonwithalegalproblemtoattendacentrewhereacentre
ManagementCommitteemembermayhavearealorpotentialconflictofinterestifthematteristakenon.ItisrecommendedthatcentreshaveproceduresinplacethatenableconflictofinterestcheckstoberunagainstthenamesoftheirManagementCommitteemembers(and,shouldtheyconsideritnecessary,forstaffandvolunteers).Thiscanbeparticularlyimportantforcentresinregional,ruralandremoteareas.
Changingjobs,locumsandconflictsofinterest6.7.39 Centresregularlyuseshort-termorlocumlawyersandlawyersinthelegal
assistancesectoroftenchangeemploymenttoworkatanothercentreorlegalassistanceorganisation.Inasimilarwaytotheuseofvolunteerlawyers,thisalsocreatesconflictrisks.
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6.7.40 Thegeneralruleisthatalawyermayhaveaconflictinanymatterwhere,inthecourseofaformerlegalpractice,theyhavepersonallyacquiredconfidentialinformationwhichcouldbeusedadverselytotheinterestsoftheformerclientiftheyweretoactforanewclient.
Example
LiyaworksforElthamCLC.SheusedtoworkforHawthornCLCwhereoneofherclientsinafamilylawmatterwasVal.Val’spartnerGraemeapproachesElthamCLCtoseekassistance.Liyaisgiventhefile.ShequicklyrealisesthattheotherpartytothematterisVal,herformerclientfromHawthornCLC.
Inthisexample,Liyaislikelytohaveaconflictofinterest.ElthamCLCwouldalsohaveaconflictofinterest,unlessitcouldsomehowestablishaninformationbarriertoquarantineLiya’sknowledgeandhaveadifferentlawyerworkonthematter–whichisprobablyunlikelyandimpractical.ThebetterapproachisforElthamCLCnottoactforGraeme.
Ifindoubt,don’tactoradvise.Refertheclientelsewhere.
6.7.41 Lawyersonshort-term/locumarrangementsaresubjecttothesamerulesofmaintainingclientconfidentialityandavoidingconflictasotherlawyers.Theriskofconflictforthemandtheiremploying/engagingcentresisheightenedbecauseofthetransitorynatureoftheirengagement,andthepossiblemultipleworkplacestheyattend.
6.7.42 Itisagoodideaforlocumstodisclosetoeachemployerthelegalpracticeswheretheyhaveworkedinthepast,andtheareasofworktheyhaveundertakenateach,sothatatleastapreliminaryformofconflictcheckcanbemade.Itisalsosensibleforcentrestoremindandemphasisetolocumstheirdutiesaroundclientconfidentialityandavoidingconflicts.
Secondmentsandconflictofinterest6.7.43 Somelegalaidcommissions(LegalAid)andprivatefirmsprovidelawyerson
secondmenttoworkinCLCsunderprobonoorotherprograms.Thisgivesrisetopotentialconflictsofinterestasthesecondedlawyersmaybedeemedtohavethesameknowledgeofconfidentialclientinformationasallotherlawyersintheiremployerpractice(forexample,thelegalaidcommissionorprivatefirm)orintheCLC.TheriskofconflictisprobablyhigherwhenalegalaidcommissionhassecondedstafftoaCLC,asmanyCLCsareofteninvolvedinmatters,particularlyfamilyviolencematters,whereLegalAidisactingfortheotherparty.
6.7.44 Theriskofconflictmayarisewithlawyerssecondedfromprivatefirms,forexamplewherethefirmactsforabankortelecommunicationsorinsurancecompanyandtheCLChasclientswithlegalissuesinvolvingthosecompanies.Waystominimisetheriskofconflictinthissituationinclude:
• ensuringthatLegalAidorthefirmhasaninformationbarrierinplacethatpreventsthesecondedlawyerfromaccessingclientinformationheldbyLegalAid/thefirmduringthecourseofthesecondmentattheCLC,or
• establishinganinformationbarrierwithintheCLCthatlimitsthesecondedlawyer’saccesstoinformationconcerningtheclientstheypersonallyareassisting(asopposedtootherclientsoftheCLC)–thisoptionisprobablylesspracticalfromaCLCpointofview,butsomecentresmanageit,and
• consideringanywaystoaddresstheconflictfollowingthereturnofthesecondeetoLegalAidorthefirm.
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ItisimportanttominimisetheriskofperceivedconflictbyensuringthatthesecondedlawyerdoesnotworkonmattersinwhichLegalAidorthefirmisactingorhasactedfortheotherparty.
6.7.45 Itisimportanttothinkaboutthepossibleriskissuesthatmayarisewellinadvanceandmakeplanstodealwiththem.Forexample,whenaCLCisconsideringtakingasecondeelawyer,theyshouldensurethattheirarrangementwiththelawfirmorLegalAidstipulatesanyrequirementsaboutinformationbarriersbeinginplaceduringthesecondment,andalsoanyrequirementsfortheperiodafterthesecondedlawyerhasreturnedtotheiremployer.IfthelawfirmorLegalAidworksinanareathattheCLCalsopractisesin,itmaybepossiblethattheCLCandtheotherpartycanagreethatthelawyerwillnotworkinthatareaofpracticeforacertainnumberofmonthsaftertheirreturn.
Screeningforconflictofinterest6.7.46 Acentremustconductafullconflictofinterestcheckbeforeproviding
anyDiscreteorOngoingAssistanceServicewherethereisasolicitor/clientrelationship.Therearesomeverylimitedsituationswhereafullconflictcheckisnotmandatory:seebelow.
6.7.47 GiventhechangeinservicetypesanddefinitionsinCLASSfromCLSIS,theResponsiblePersonwillneedtocarefullyconsiderthepositioninrelationtoeachoccasionofsometypesofservicesandbefamiliarwiththerelevantpartoftheDSMthatdealwithdataitemsrelevanttoconflictchecking.
6.7.48 TheResponsiblePersonhastheultimateresponsibilityforensuringthatconflictcheckingisproperlyperformedandmanagedandfordeterminingwhetherornotthereisormaybeaconflictofinterestinparticularcircumstancesandaccordingly,whethertheLegalAdviceorotherDiscreteorOngoingAssistanceServiceistobeprovidedtoanyperson.
6.7.49 Conflictchecksmustcoverthewholeofacentre’sserviceoperationsincludingwithineachandacrossallbranchofficesandallspecialist,auspicedorhostedprojects,programsorservices(see7.10)ifthoseserviceseverprovideServicestoIndividuals(otherthanInformationorreferral).Conflictcheckingisnotmandatorywhereacentreoritsservice/project/programisprovidingonlyInformationand/orReferralServices,butdoingsocanprovideextrariskminimisation.
6.7.50 CentresshouldtakeactiontoensurethatServiceProvidersunderstandthetypesofserviceswherethereisasolicitor/clientrelationshipandwhentosuspendaninteraction/interviewifitseemsthattheconversationismovingbeyondInformationorReferral.Seebelow.
Whataretherequirementsofafullconflictcheck?
6.7.51 Inordertobeabletodoconflictchecksacentremusthaveadatabaseordatabasesof‘Client’and‘Other-Party’information.CLSISservedthispurpose,andCLASSwasdevelopedtoprovidethesamefunctionality.
6.7.52 A‘fullconflictcheck’requirestheclient’sname/sandthename/softheOtherPartyorPartiestobecheckedinthecentre’sclientdatabase/s.TheServiceProvidermustfirstensurethattheyobtainandenterthecorrectspellingofthefullnameoftheclient,andanyvariationsorothernamesthatthepersonmayuseorhasused.Seealso6.7.89.
6.7.53 TheServiceProvidershouldthinkaboutandidentifyall‘OtherParties’thatmay,giventhenatureoftheissue,be(orcometobe)inconflict,forexample,familymembersorco-tenants.Forexample,inatenancymatter,acentreshould
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ascertainwhetherthereisaco-tenantand,ifso,whetherintheparticulardisputethereisarealriskofaconflictarising.Ifthecentreworkerhas,afterreasonableenquiryandconsideration,formedaviewthatthereisarealrisk,theymustrecordandcheckthenamesoftheco-tenantsinthedatabase/stoestablishwhetherthereisaconflictandtoprotectagainstoneoccurringinthefuture.
6.7.54 Whenobtainingclientorpartydetails,itisveryimportanttoobtainthefullnamesoftheparties,includinganyspellingornamevariationsandallnamesusedcurrentlyorpreviously.Careshouldalsobetakeninregardtoobtaining,enteringandconflictcheckingthename/sofotherpartiesthatarecompanies,andthepeopleinvolved,forexample,directors.
6.7.55 TheonlysituationswhereafullconflictcheckisnotrequiredforServicesotherthanInformationandReferral(oranyothergeneralServicetoapersonnotaclientofthecentre),aresetoutbelow.
WhatdoIdoifthepersonattendingdoesnotknowtheOtherParty’sname?
6.7.56 IfthepersonseekingLegalAdviceorotherAssistancedoesnotknowthenameoftheOtherParty,thecentrecanstillprovidethepersonwithInformationand/orReferral.IfthepersonisseekingorrequiresLegalAdviceorsomeotherformofDiscreteAssistanceorOngoingServiceforanIndividual,butdoesnotknowthenameoftheOtherPartyorParties,theServiceProvidershould,whereverthisispossible,askthepersontofindoutthename(andofcoursemayassistthemindoingso),andexplainthatthecentrecannotprovidetherequiredServiceuntilthisinformationisobtainedandaconflictcheckisdoneofthatname.Inthisscenario,theServiceProviderhasjudgedthatthereissomerealprospectthatthepersoncanascertainthename;andthatthecircumstancesdonotfallwithinoneoftheverylimitedsituationswhereLegalAdviceorotherDiscreteorOngoingAssistancemaybegivenwithoutafullconflictcheck(seebelow).
6.7.57 Oncethenameissupplied,thecentrecancarryoutaconflictcheckofthename,andabsentaconflictshowing,mayprovidetheService.IfthenameoftheOtherPartycannotbeascertained,seethediscussionbelow.
Theonlysituationswhereafullconflictcheckisnotmandatory
6.7.58 Theonlysituationswhereafullconflictcheckisnotmandatoryaresetoutbelow.NACLCandtheNationalPIINetworkarecontinuingtolookatthisareaandwillbemonitoringtheoperationoftherequirementandtheneedforreformoflegalprofessionlawstobetterreflecttheneedsandcircumstancesofcentresandtheirclients.NACLChasmadesubmissionsinthisregardpreviouslyinrelationtocommunitylegalcentres’operationsandoperatingcontexts.Ifthereareparticularissuesthatariseforacentre,thecentreisencouragedtoraisethemwiththeirPIIrepresentativetoinformthatconsideration.
SItUatION1–Certain‘other’partiesthatthecentreneverassists
(a)Whereanotherpartyisaninstitutionthatthecentreneverassists
6.7.59 Somecentresworkinareaswheretheirclientshavemattersagainstparticularinstitutions,ortypesofinstitution,thatthecentreneveradvises,assistsorrepresents.Examplesofsuchinstitutionsinclude:governmentdepartmentsandagencies(forexample,Centrelink;PoliceForces;Prisons/CorrectiveServicesauthorities;Immigration),banksandotherfinancialinstitutions.Inthesecases,wherethecentreascertainsthattheOtherPartyissuchaninstitution,thecentreisnotrequiredtoconflictcheckthenameofthatpartyinthedatabase/s,howeveritisstillnecessarytocheckthecaller/client’snameandthenamesofanyotherpartiesinthedatabase/s.
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(b)Whereanotherpartyisofadistincttypeorkindthatastand-alonespecialistcentreneverassists:adviceonly
6.7.60 Therearesomestand-alone(self-containedandindependentlyoperating)centresthatspecialiseinaparticularareaoflaworclientgroupandhaveapolicyofneverassistingacertaintypeofpartytodisputesintheirarea,forexample,landlordsintenancydisputes.Ifso,itmaybeacceptablerisk-minimisationandsufficient‘reasonableefforts’tosimplyidentifythattheonlyOtherPartyfallswithinthatcategory(forexample,landlord)andnotconflictcheckthenameofthatparty.
6.7.61 Atpresent,theonlysuchcentresandpartiesrecognisedbythisGuideasfallingwithinthiscategoryarestand-alonespecialisttenancyservicesandlandlordsrespectively.Astand-alonetenancyservicethatdoesnoteveractforlandlordscanprovideAdvicetoatenant(butnotrepresentthepersonoractonanongoingbasis)withoutconflictcheckingthenameofthelandlord,howeveritmuststillconflictcheckthenameofthecaller/clientand,wheretheCLCworkerassessesthatthereisapotentialforaconflict,thename/sofanyco-tenants.
6.7.62 ThisexceptiondoesnotapplytogeneralistcentresprovidingtenancyAdviceortospecialisttenancyservicesthatarenotstand-alonebutare,inalegalsense,partofageneralistcentre.
SItUatION2–advising/assistingpeopleinprison,detentioncentresorsecurehealthfacilitiesincertaincircumstances
6.7.63 WhereLegalAdviceand/oranotherformofDiscreteAssistanceisbeingprovidedataprison,detentioncentreorsecurehealthfacility,itwillnotbepossibletocarryoutaconflictcheckpriortogivingadviceifthenamesofinmates/detaineesareonlygiventothecentreimmediatelypriortotheappointmentandtheServiceProvidercannotcommunicateexternally.Inthissituation,takingintoaccounttheparticularcircumstancesoftheservicedeliveryandtheimportancetothepersonofreceivingimmediateAdviceand/orotherAssistance,thecentreworkermayprovideAdvice/Assistance,butshouldonlydosoafterconsideringthelikelihoodofaconflictofinterestbeingpresentandmakingariskassessmentand,ifrelevant,limitingtheAdvice/Assistanceprovidedaccordingly.
6.7.64 ItisalsoappropriatebeforeprovidingtheAdvice/Assistance,toinformthepersonoftheimportanceandrelevanceofconflictchecking,whatisbeingdoneinthiscaseandthepossibleeffectofaconflictsubsequentlybeingdiscovered.ThecentreworkershouldcarryoutaconflictcheckassoonaspracticableaftertheAdvice/Assistancehasbeenprovided,forexample,uponreturntothecentreorwhenremoteaccesstothecentre’sdatasystemoraccesstoatelephoneispossible.ThecentrecannotprovideOngoingServicestothepersonunlessanduntilafullconflictcheckhasbeencarriedout.
SItUatION3–providingoutreachserviceswhereexternalcommunicationisnotpossible
6.7.65 Similarly,wherecentreworkersareprovidingoutreachservices,suchasaDutyLawyerServiceattheLocalCourt,thecentremusthavesystemsinplacetoensuretheServiceProvidercanscreenforconflictsofinterestbeforegivingLegalAdviceand/orprovidingotherAssistance(forexample,byremoteaccesstothecentre’sclientdatasystemortelephoneconflictchecks).Ifitisnotpossibletodosoinparticular,exceptional,circumstances,forexamplewheremobilephoneorinternetserviceisunavailableatthetime,thentheprocedureoutlinedatSituation2aboveshouldbefollowed.
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SItUatION4–exceptiontotherequirementtocheckthenameofanOtherpartytothedisputeincertainexceptionalcircumstanceswhenthepersoncontactingthecentreisunableorunwillingtosupplythatname/s:adviceonly
6.7.66 WhereapersonseekingassistancefromacentreisunableorunwillingtosupplythenameoftheOtherParty/Parties,thesafestcourseisnevertoprovideadvice.Mostcentresadoptthiscourse.However,someservicesdonotfindthispracticableordesirablegiventheirparticularclientgroupandservicedeliverycontext,andtheirassessmentoftheverylowrisk.
6.7.67 Acentre’sconflictofinterestpolicymayprovidethatwhereapersonisunableorunwillingtosupplythenameoftheOtherPartytothedispute,thecentremayneverthelessprovideLegalAdviceoranotherformofDiscreteAssistance(butnotrepresentthepersonoractorprovideAssistanceonanongoingbasis)providedthefollowingconditionsaremet:
1) aconflictcheckisdoneagainsttheperson’sownnameandthename/s(ifknown)ofanyRelatedParties;
2) thefollowingcircumstancesapply:
a) theperson(and/orthecentre)hasmadeallreasonableeffortsinthecircumstancestofindoutthenameoftheOtherPartybuthasbeenunsuccessful;and/or
b) thepersonrefusestoprovidethenameoftheOtherParty;and/or
c) thematterisurgentandthepersonmaysufferseriousdetrimentasaconsequenceofdelay;
3) alternativeappropriateassistanceisnotavailable;
4) thepersonisaskedtoidentifythestatusoftheOtherParty(forexample,aco-tenant,apartner)(becausethisisarelevantriskmanagementconsideration);
5) theResponsiblePersonoraNominatedPersonconsidersthepotentialforaconflictofinterestinthecircumstancesoftheparticularmatter;and
6) thepersonistoldthatbecausethecentrecannotdoaconflictcheck,thecentrecannotguaranteethattheyhavenotassistedanotherpartytothedispute.Thepersonmustconsenttobeingprovidedwithadvice/assistanceinthesecircumstances.(Notethatthisconsentshouldbeinwritingorafilenotemadeofverbalconsent).
6.7.68 ServiceswishingtoinvokethislimitedexceptionmustrecognisetheriskthatfailingtoperformaconflictcheckofthenameoftheOtherPartymaymean:thereisanincreasedriskofanactualconflictoccurringandtheymayneedtostopprovidingassistancetoallconflictedpartiesseekingassistance(incircumstancesthatcouldhavebeenavoidedbyconductingafullconflictcheck(ifthatwerepossible)).
CantheServiceProviderprovideRepresentationServicesorotherOngoingAssistanceServiceswhenafullconflictcheckhasnotbeendone?
6.7.69 AcentrecannotprovideOngoingAssistancetoapersonwithoutconductingafullconflictcheck,thatis,aconflictcheckacrossthenamesofallpartiestothedispute,exceptthatitisnotnecessaryforacentretodoadatabasecheckofthenameofanOtherPartyifthatpartyisaninstitutionthatthecentreneverassists(seeSituation1(a)above).InSituations1(b),2,3and4above,one-off
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Advice(1(b)-4)and/orotherDiscreteAssistance(2-3)canbegivenincertainverylimitedcircumstanceswhereafullconflictcheckhasnotbeendone.EveninthoseexceptionalsituationsthecentrecannotprovideOngoingAssistanceunlessanduntilallthenecessaryinformationhasbeenobtainedandafullconflictcheckhasbeenundertaken.
Whereanobligationtoconflictcheckhasunexpectedlyarisen
6.7.70 IfaServiceProviderfeelsthatthelinebetweenInformation/ReferralandAdviceorLegalTaskhas,forwhateverreason,beencrossedorthatclientconfidentialinformationthatcouldgiverisetoapotentialconflicthasbeenprovidedtothecentre,thentheServiceProvidermustatthatpointobtainandenterthenamesofthepersonandtheOtherParty(orasmuchofthatinformationastheycanobtain)andundertakeafullconflictcheck.Seealso6.7.14-27.
Whatyoumustdoifyouhaveconductedaconflictcheck
6.7.71 ThecentreshouldrecordoneveryclientfileandAdvicerecordthataconflictcheckhasbeendone.InSituation4setoutabove(6.7.66),whereaconflictcheckwasnotdoneofthenameoftheOtherPartybeforeprovidingtheAdvice,thatfactandthereason/sforitshouldbenoted.
6.7.72 Somecentresthathavehardcopy‘AdviceSheets’orServicerecordsstamporwriteortick‘conflictcheckdone’ontheAdvicesheet/recordtoconfirmthatthecheckhasbeendone.Itisagoodideaforcentrestoensurethatthereisarelevantfieldintheirdatabasetoindicatethatallowsthemtorecordthataconflictcheckhasbeendoneorisnotapplicable.
Whatyoumustdoifthecentrecannotactforsomeonebecauseofaconflict
6.7.73 Ifaconflictofinterestisdiscovered,thecentreshouldinformthepersonthatthecentreisunabletoprovideaservicetothemandreferthemtoanotherappropriateservice,suchasanothercentreorLegalAid.Insomecases,likefamilyviolenceDutyLawyerServices,CLCsmayhaveprotocolswithLegalAidincasesofconflict.Wheninformingthepersonthatthecentrecannotassistthem,centresshouldbemindfuloftheirdutyofclientconfidentiality.
Conflictofinterestinmulti-programagencies6.7.74 Somecentresare‘programs’withinlargercommunityagenciesorotherbodies.
Thecentremaynotbeincorporatedinitsownright,butratherisoneserviceorprogramoperatingwithinandunderalargerincorporatedbody.Ideallythecentrewouldbeorwouldmovetobeincorporated,andwherepossible,bephysicallyseparatedfromtheotherprogramstoavoidtheconflictsissuesthatmayotherwisearise.Thisistoensurethatthelegalpracticeisclearlyseparateandisseentobeseparateforthecentre’spurposeofassistingclients.
6.7.75 Therearearangeofexistingmodelscurrentlyinplace,somewherethereseemstobenoissueandsomewithmanysatisfactoryarrangementsbutwheresomeimprovementscouldand/orshouldbemade.Wherealltheissueshavenotbeenaddressed,thearrangementscangiverisetopotentialandactualconflictsofinterestandriskbreachingclientconfidentialityorclientlegalprivilege,orputthelegalpracticeanditsprincipalinbreachofstatutoryorotherlegalduties.
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Example
Abbott’sCreekCLCisnotastandaloneCLC.ItisaprogramwithinthebroadercommunityagencyWesternRegionalCareInc.AclientcomestotheCLCseekingadviceaboutobtaininganinterventionorderagainstherviolentspouse.ThespouseisattendingaMen’sBehaviouralChangeProgramrunbythebroaderWesternRegionalCareIncagencyandhasadmittedhisviolentbehaviourinthecourseofthisprogram.
6.7.76 Centresthatoperateinthistypeofarrangementmusthaveprocedurestoavoidandmanageconflictsofinterest.Minimumproceduresthatmustbeputinplacetoavoidandminimisetheriskofconflictsarisingorbreachesofconfidentialityand/ordutyare:
• establishingan‘informationbarrier’toensurethatthereisnorealpossibilityofcommunicationofconfidentialinformationoutsidethecentre.Itmustpreventconfidentialinformationheldbythecentrefrombeingaccessedbystaffofotherprogramsorcommonintakeandassessmentworkers,andinparticularitshouldpreventnon-centreagencystafffromaccessingconfidentialclientinformationheldbythecentre.Thisappliestothedatabase,electronicandhardcopyfilesandwouldextendtopreventthemanagersofotherprogramsoroftheoverarchingentityfromaccessingthecentre’sclientfiles,recordsandclientinformationexceptthebody’smanagementundercontrolledcircumstancesandonlywhennecessary(suchasforhandlingcomplaints,operationalnecessityorforemploymentaccountabilitypurposes)tosupportthecentreprovidinglegalServicestoclients.
• theinformationbarriermustcomplywiththerequirementsofthelegalprofessionlawsoperatinginthecentre’sstateorterritory,andthelawyers’ethicalduties.Foradetailedtreatmentofthelawoninformationbarriersandrecommendedguidelinestoguardagainstabreachofthedutyofconfidentialityowedtoformerclients,seetheInformationBarrierGuidelinesproducedbytheLawSocietyofNewSouthWalesandLawInstituteofVictoriaandadoptedbytheQueenslandLawSociety.52
• adraftinformationbarrierpolicymustbeprovidedtotherelevantstateorterritoryPIIrepresentativeforconsiderationbytheNationalPIINetwork.ThePIINetworkwillmakearecommendationtotherelevantstateorterritoryCLCassociation,whichisultimatelyresponsibleforapprovingthepolicyfortheirmembercentre.53RecordsofapprovedinformationbarrierpolicieswillbecentrallyheldandmadeaccessibletothePIINetworkandNACLC.
• anapprovedwrittenpolicywhichisavailabletoclientssupportingthisinformationbarrier
• inclusionofkeyaspectsofthepolicyinstaffemploymentcontracts
• regulartrainingonthepolicy
52Availableat:<https://www.lawsociety.com.au/cs/groups/public/documents/internetcontent/1088899.pdf>(accessed31January2017);<https://www.liv.asn.au/PDF/Practising/Ethics/2006GuideInfoBarrier.aspx>(accessed31January2017);<http://www.qls.com.au/Knowledge_centre/Ethics/Resources/Conflicts_concerning_former_clients/Information_Barrier_Guidelines_LIV_LSNSW_adopted_by_QLS_Council>(accessed31January2017);summarisedhere:<http://www.liv.asn.au/PDF/Practising/Ethics/2010InformationBarrierGuidelines>(accessed31January2017).
53Furtherdetailontheprocedureforimplementinganinformationbarrierpolicyissetoutinappendixe:PIIRepresentatives:Framework,RoleandResponsibilities.
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• regularreviewoftheeffectivenessofthepolicybyanominatedstaffmember(usuallytheResponsiblePerson)
• transferringstaffbetweenprogramsonlywhenthiscanbemanagedwithoutbreachingtheinformationbarrierpolicy.
AnexampleInformationBarrierpolicyappearsatappendixK.
6.7.77 Itisimportantthatallstaffandmanagersunderstandthattheseobligationsrelatetoallclientconfidentialinformation,andthattheyunderstandthebreadthofwhatmayconstituteclientconfidentialinformation.ThemerenameofaclientattendingforAdvicecouldbeconfidential.
6.7.78 Forthisreason,centreagenciesshouldalsoconsiderphysicalseparationofthecentrefromotherprograms.Physicalseparationprevents,forexample,stafffromdifferentprogramsoverhearingclienttelephoneconversationswithcentrestaff,andalsosupportsthemaintenanceoftheinformationbarrier(forexample,otherstaffwillnothearclientconfidentialinformation,viewclientinformationindiariesoronpapersoncentrestaffmember’sdesks,orcomputersetc).ItalsohelpstoavoidissueslikeclientswhoareormaybeopposingpartiesseeingtheOtherPartyatthesameorganisationorhavingtowaitforappointmentsinthesamewaitingroom.
6.7.79 ‘Identity’separation,suchasthecentrehavingadistinctletterheadandname,assistswithavoidingtheperceptionofconflictofinterestbetweenthecentreandotherhostagencyprogramsandcanhelptoconfirminthemindofthepersonseekingassistanceexactlywhatservicesarebeingprovided(andnotbeingprovided)andbywhom.Itisacknowledgedandacceptedthatcentresthatarepartoflargeragenciesmayhavesomebrandingthatisconsistentacrossprogramshostedbytheagency.However,whiletheremaybecommonbrandingelementsbetweensomeprograms(forexample,broadstylesorthemes),inordertoavoidperceivedconflictsofinterestthecentremusthaveadistinctivenameanditsowndistinctiveletterheadandbrandingonothercommunicationsthatclearlydifferentiatesthecentrefromtheotherprograms.
Examplecontinued:
Abbott’sCreekCLCandWesternRegionalCareInchaveconsideredthelegalobligationsassociatedwithrunningaCLC.Theyareconsideringhowtomeettheirobligationswhilemeetingpreferredoperationalrequirements.
OptionA:TheyestablishtheCLCinseparatepremisesfromallotherprograms.AllcentreoperationsarefullycontainedwithintheCLC.
OptionB:TheCLCisco-locatedwithotherprogramsbutstepsaretakentomaximiseseparationfromotherprograms.TheCLChassoundinformationbarriers,aseparateentrance,waitingarea,administrationservices,facsimilemachineandfirewalledcomputersystem.
OptionC:TheCLCisco-locatedwithotherprogramsbutvariousoperationfunctionsareintegrated,including:singleentrance,commonadministrativefunctions,accesstomultipleclientdatabasesbyadministrators,acommontelephonenumberandacommonfacsimilemachine.
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OptionD:TheCLCisco-located,alloperationfunctionsareintegratedandthereisanotionalbarrierbetweenstaffemployedbytheCLCandotherprogramstaff.Theclientintakeprocedureishandledindependentlybythehostorganisationtoachieveoperationalconsistencyacrossprograms.Thecentralisedintakeworker,whohasaccesstoalldatabasesintheagency(includingtheCLC’sdatabase)receivesconfidentialinformation,conductsconflictschecksandprovidesatriagefunctionintotherespectiveprograms.
Oftheseoptions,AandBarethemostlikelytobecompliantwithlegalobligationsconcerningconflictsofinterestandconfidentiality.OptionCrisksbreachingarangeofobligations.OptionDactivelybreachesarangeofobligations.
Conflictofinterestinreferringmatterstovolunteerlawyers6.7.80 Manyvolunteersatcentresarelocalprivatesolicitorswhosefirmsmaybereferred
clientsbythecentre.Thisgivesrisetothepotentialforconflictsofinterestasthevolunteersolicitormayhaveaninterestinreferringtheclient,orencouragingtheclienttobereferred,totheirpractice,andislikelytobeperceivedtohavethatinterest,includinginsituationswherethismay,ormayappear,nottobeinthebestinterestsoftheclient.
6.7.81 CentrescouldmanagethispotentialforconflictsbyimplementingapolicythattheCentrewillnotreferanypayingmatterstoanysolicitorswhovolunteeratthecentre.Inpracticehowever,thismayunnecessarilydisadvantagelawyerswhochoosetovolunteeratthecentre,andindeedcoulddisadvantageclientsbyprecludingthemfrombeingreferredtorelevantlyexperienced,localsolicitorsandsolicitorswhomayundertaketheworkontermsadvantageoustotheclient,forexampleforadiscountedfeeoronanowin-nofeebasis.
6.7.82 Analternativesuggestedapproachtomanagethepotentialforconflictinthissituationisforthecentretohavepoliciesthat:
• prohibitvolunteersolicitorsfromdirectlyreferringanyclientstothemselves
• ensurethatReferralinformationisalwaysprovidedorendorsedbyanindependentstaffmember,notavolunteerlawyer
• alwaysprovideclientswithatleasttwosuitablereferraloptions(whichmayincludevolunteersolicitors)unlessitisnotpossibletodoso.
Similarconsiderationscanbeappliedtobriefingbarristerswhovolunteeratthecentre.
Conflictofinterest–stafflawyerswhorunprivatepractices6.7.83 Somecentrelawyersmayalsoconducttheirownprivatepracticesoutsidethe
centre,althoughthisisrare.ThisraisessignificantpotentialconflictsshouldReferralsbemadebythecentretothestafflawyer’sprivatepractice.
6.7.84 Somelegalpracticesprohibitstafffromengaginginlegalworkoutsidethepractice.Thisapproacheliminatesthepotentialforconflictofinterestbutitmayalsounnecessarilydisadvantagesomecentresandtheirstaff,where,forexample,thelawyerworkspart-timeatthecentreandusestheprivatepracticetosupplementtheirincomeormaintainordevelopotherlegalpracticeexpertiseandskills.Theissueisfurthercomplicatedwherethestafflawyerconductstheexternalcasesprobonoorforreducedfeesorinsituationswherenootherlawyerwouldtakethematteron.
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6.7.85 TheleastriskyandrecommendedpositionisthateachcentrehasapolicythatprohibitsanyReferralswhatsoeverbeingmadefromthecentretothestafflawyer’sexternalpractice,howeverthismaynotalwaysbepracticableorfair,forexamplewherenootherlawyerwilltakeonthematterorwherethelawyerhastherequisiteexpertiseandcapacitytotakeonthecaseattheprivatepractice,wherethecentredidnot.
6.7.86 AnacceptableapproachwouldbetoprohibitReferralsotherthaninexceptionalcircumstances,whichmayincludethatthelawyeristakingthematteronprobono,forreducedfeeorbecausethereisnoothersuitablelawyeravailable.Underthismodifiedapproach,thepolicyshouldstatethatthelawyermustnotmakeaself-referral.AnyReferralinformationshouldbeprovidedbyadifferentstaffmemberandwherepossible,shouldincludeatleasttworeferraloptions.Disclosureofthelawyer’sinterestmustbemadetotheclient.Thisinvolvesensuringthattheclientisawarethatthelawyerwhoisbeingprovidedasareferraloptionisalsoanemployeeofthecentre.
6.7.87 Othersuggestionstoincludeinthepolicyformanagingthepotentialforconflictinthissituationareto:
• requirestafftoobtainapprovalbeforeengaginginanypaidorunpaidworkoutsidethecentre
• statethatapprovalwillnotbegiveniftheexternalworkmaynegativelyimpactonthecentre’soperationsand/oronthestaffperson’shealth–forexample,wheretheyproposetoconductaprivatepracticeinadditiontoworkingfull-timeornearlyfull-timeatthecentre,orwheretheexternalworkmayjeopardisekeystakeholderrelationshipsorfundingforthecentre,iscontrarytothevaluesofthecentre,orhasthepotentialtoharmthecentreincludingbybringingitintodisrepute
• havethelawyersignanagreementthattheywillimmediatelydeclareanypotentialoractualconflictofinterestarising,andwillfollowanagreeddocumentedprocedureastowhatistobedonethen–includinggivingthecentreclientpriority,thatis,continuingtoactforthem,ifpossible
• statethatanyprivatelegalworkmustnotbeconductedusingthecentre’sresourcesorduringtheemployee’sworkhours.
advisingcentrestaffandvolunteers;oradvisingothercentres6.7.88 SometimescentreswillbeaskedtoprovideLegalAdviceorotherDiscrete
AssistanceServicestoacentreemployeeorvolunteer.Othertimes,centresmaybeapproachedbyanothercentreforAdviceonamatter,forexamplewhenalawyerfromageneralistcentreseeksAdvicefromaspecialistcentrewithoutreferringtheclient.Inbothofthesesituations,itisimportantforthecentreprovidingtheAdviceand/orotherService/storememberthatthepersonorentitytheyareadvisingthenbecomesaclient.Accordingly,thecentremustalwaysfollowtheMandatoryStandardsoftheGuide,includinginrelationtointakeprocedures,conflictsofinterest,obtainingfulldetails,keepingadequaterecords,etc.Failuretofollowthesameprotocolsasforanyotherclientmayimpactonthecentre’sinsurancecoverintheeventofaclaim:see4.6.29-31.
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Confidentiality,conflictofinterestandactingforgroupsandassociations
6.7.89 CLCsmaybeapproachedtoprovideLegalAdviceandRepresentationServicestocommunitybasedincorporatedassociations,non-governmentorganisationsandsimilargroupsthatmightormightnotbealegalpersonality.Clientsinthesecircumstancesrangefromwell-organisedandstructuredlegalentitiestoloosecoalitionsand‘campaigns’aroundaparticularissue.Inmanycasesitwillbeasimplematterofrelyingontheostensibleauthorityofanofficeholderofanincorporatedassociationtoprovideinstructionsandreceivecommunications.Inothercircumstancesmeetingobligationswithrespecttoconfidentialityandavoidanceofconflictswillrequirecarefulattentiontoidentifyingtheentity,whichistheclientaswellastheindividualauthorisedtoprovideinstructionsandreceivecommunicationsonbehalfofthatentity.
6.7.90 IncaseswhereacoalitionofgroupsorindividualsseekstheassistanceofaCLC,itmaybeappropriatetorequirethemtonominateagrouporindividualastheclientoftheCLC.Alternatively,ifaCLCactsformultipleclientswithacommonobjective,carefulattentionwillneedtobepaidtoensuringthatnopossibilityofaconflictofinterestisanticipatedorforeseeableandthatproceduresareinplacetodealwithanythatdoarise,suchasadvisingandceasingtoactforallparties.
Furtherinformationandgettingadvice6.7.91 Lawsocietiesandlawinstitutesoftenhaveusefulinformationonconflictof
interest,informationbarriersandethicsontheirwebsites.54Somealsoprovideadvicetomembersaboutconflictofinterestissuesviatelephoneethicsadviceservices.
54ACT:<http://www.actlawsociety.asn.au/>;NSW:<http://www.lawsociety.com.au/>;NT:<http://lawsocietynt.asn.au/>;QLD:<http://www.qls.com.au>;SA:<http://www.lawsocietysa.asn.au/>;TAS:<http://lst.org.au/>;VIC:<http://www.liv.asn.au/>;WA:<http://www.lawsocietywa.asn.au/>.
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CHAPTER 7
practiceSupervisionandManagementInthischapter:7.1 Introduction 94
7.2 Supervision 94
7.2.7 CheckingDiscreteAssistance(otherthanInformationandReferral) 95 andOngoingAssistanceServices
7.2.11 AccesstotheResponsiblePerson 96
7.2.12 SupervisionofOngoingServices 96
7.2.14 Remotesupervision 97
7.2.18 Supervisingbranchoffices 97
7.3 Workloads 98
7.4 Filereviews 98
7.5 electroniccommunications 99
7.6 CommunityLegaleducation,Communityeducationandpublications 100
7.7 LawandLegalServicereformorpolicyreform 100
7.8 Media 101
7.9 ServicesfortheCommunity(CLe,Ce,LawandLegalServicereform, 101Stakeholderengagement)andMedia:filesandrecords
7.10 Specialist,auspicedorhostedservices,programsandprojects 102
7.11 Volunteers 103
7.12 Studentsandclinicalprograms 103
7.13 DutyLawyer/advocateservices 104
7.14 Contractworkforlegalaidcommissions 104
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7.1 Introduction Supervisionofthelegalpracticeanditslegal,non-legalandrelatedServicesis
acriticalareaofriskmanagementincentresandisthefocusofthispartoftheGuide.
7.2 Supervision thisisaMandatoryStandard.
7.2.1 TheResponsiblePersonretainsoverallresponsibilityforacentre’slegalandrelatedservicedeliverypractice,includinginanybranchofficeandanyspecialist,auspicedorhostedproject,programorserviceofthecentre:see3.5.21-28,and7.10.TheResponsiblePersonmustensurethatreasonableandappropriatesupervisionisprovidednotjusttoalllawyersbuttoallworkers–employedandvolunteer-providingServicestoclientsofthecentre.
7.2.2 ItmustbeunderstoodthatthisGuiderequirestheResponsiblePersonortheirdelegate,a‘NominatedPerson’,tocheckandsuperviseessentiallyallServicesforIndividuals(exceptgeneral,non-specific,assistancesuchasInformationorReferral)thatthecentreprovides-notjustLegalAdviceandRepresentationServices.Further,theGuiderequiresthattheResponsiblePersonorNominatedPersonmustalsocheckmanyServicesfortheCommunitysuchasCommunityLegalEducation(CLE),CommunityEducation(CE)andLawandLegalServicesReformorpolicyreformmaterialsandotherpublicationsormediawork-basicallyanyactivityofthecentrewherewhatissaidordone(ornot)maygiverisetolegalrisk.
7.2.3 Theprovisionofadequateandappropriatesupervisionisnotonlyamatterofcomplyingwithrelevantprofessionalregulationrequirements.Itisalsoariskmanagementissuebecausepropersupervisionensuresqualityworkandcompetencyinlegalpracticeandotherservicedelivery.Goodqualitysupervisioncanalsoimprovethewellbeing,morale,professionaldevelopmentandretentionofstaff–thisisriskmanagementinabroadersense.
7.2.4 TheResponsiblePersonmustdeterminethelevelofsupervisionrequiredforeachemployedworkerandvolunteerinthecentre,havingregardtothefollowing:
• qualificationsandexperienceoftheemployedworkerorvolunteer
• knowledge,skillsandexperienceoftheemployedworkerorvolunteer
• complexityand/ornatureofthelegalorotherworkbeingundertakenbythatperson
• anyotherrelevantmatter.
7.2.5 TheResponsiblePersonmustensurethatreasonablesupervisionisprovidedby,whereverpracticable,directlysupervisingtheworkerorvolunteerbutonoccasionswhereitisnecessaryandappropriate,delegatingsupervisoryresponsibilityoverthelegalpracticeoradiscreteareaofthelegalpracticetoaNominatedPersonwithsufficientexpertiseandexperienceintherequisitearea/soflaworothertype/sofwork.See3.5.21-28and3.5.29-33inrelationtotheroles,qualificationsandotherrequirementsfortheappointmentofResponsibleandNominatedPersons.
7.2.6 IftheResponsiblePersonorothersupervisorisonleaveorotherwiseabsentforanysignificantperiod,orresignsfromthecentreandthereisnoimmediatereplacement,thecentremustmakearrangementsforanothersuitablyqualifiedandexperiencedsupervisor:see3.5.25-26.Centresmustensurethattheycomply
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withthelegalprofessionlegislationintheirstateorterritoryatalltimesinrelationtopracticesupervisionandmanagement,aswithotherareas.ThestateorterritoryPIIrepresentativemustbeadvisedofanychangetothepositionoftheResponsiblePersonand/orNominatedPerson.
CheckingDiscreteassistance(otherthanInformationandreferral)andOngoingassistanceServices
7.2.7 TheResponsiblePersonoraNominatedPersonmustcheckallLegalAdviceandotherDiscreteAssistance(otherthanInformationorReferrals),DutyLawyerandOngoingAssistanceServices,performedbyvolunteerlawyersandvolunteernon-lawyersforclients,includinginanybranchofficeandanyspecialist,auspicedorhostedservice,programorproject(see7.10).TheymustalsocheckDiscreteandOngoingNon-LegalSupportServicesprovidedbystaffwhoarewithinthecentre’sLegalPractice(thatis,operatingontheothersideofaninformationbarrier).WhereavolunteerisaNominatedPerson,theirLegalAdviceandotherDiscreteAssistance(otherthanInformationorReferrals)andOngoingAssistanceworkmustbecheckedbyaResponsiblePersonwhoisalawyerwithanunrestrictedpractisingcertificateorprincipalcertificate(howeverdescribed)orotheremployedlawyerwhohasanunrestrictedpractisingcertificate.Ifthisisnotpossible,thecentrewillneedtonegotiatewiththeirstateorterritoryPIIrepresentativeandCLCassociationtoobtainapprovalforanalternativearrangement.Checkingmustbedoneinatimelymannertominimisetheriskofaclientrelyingonincorrectorincompleteadviceormissingalimitationdate.Seealso7.2.11below.
7.2.8 IdeallytheResponsiblePersonoraNominatedPersonshouldcheckalltheLegalAdviceandotherDiscreteAssistance(otherthanInformationorReferrals),DutyLawyerandOngoingAssistanceServices,performedbyemployedlawyersandemployednon-lawyersforclients.Howeverinpracticetheneedfororamountofcheckingvariesaccordingtocircumstancessuchastheexperienceandexpertiseofthesuperviseeandthenatureandcomplexityoftheworkdone.Thefeasibilityofcheckingallsuchworkwillvaryaccordingtothesizeandresourcesofthecentre.TheResponsiblePersonthereforeretainssomediscretioninthecheckingofemployeeadviceandcasework.However,ataminimumtheResponsiblePersonoraNominatedPersonmustcheck:
• (atleast)asignificantproportionofDiscreteandOngoingAssistanceperformedbyemployednon-lawyers,includinginanybranchofficeandanyspecialist,auspicedorhostedservice,programorproject.ThisincludestheDiscreteandOngoingAssistanceofaNominatedPersonwhoisnotalawyer.Forthepurposesofcheckingthiswork,‘employednon-lawyer’includesanynon-lawyerworkingonsecondmenttothecentre.
• (atleast)asampleofDiscreteandOngoingAssistanceperformedbyemployedlawyers,includinginanybranchofficeandanyspecialist,auspicedorhostedservice,programorproject,onaregular,frequentandrandombasis.ThisincludestheDiscreteandOngoingAssistanceoftheNominatedPerson/sthemselvesandalsothatoftheResponsiblePersonunlesstheResponsiblePersonistheprincipalorseniorsolicitoratthecentreandhasanunrestrictedpractisingcertificate.Forthepurposesofthiswork,‘employedlawyer’includesanylawyerworkingonsecondmenttothecentre.
Checkingworkisaqualityassuranceprocedureperformedinacollegiateandconstructiveway,andisnotareflectionontheexpertiseorexperienceoftheoriginaladvisor.
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7.2.9 IfitbecomesapparentthatincorrectorincompleteAdvicehasbeengiventoaclient,thefollowingstepsmustbetakenassoonaspossible:
• theServiceProviderresponsibleforprovidingtheinaccurateorincompleteAdvicemustbealertedtothisfact
• theclientmustbeadvisedofthecorrectAdvicebytelephoneand/orinwriting
• thenewAdvicemustberecorded.
7.2.10 InthesecircumstancesiftheResponsiblePersonformstheviewthattheclientmaypossiblyhaveaclaimagainstthecentretheResponsiblePersonshouldspeaktotheirPIIrepresentativeandnotifythebroker/insurer.TheResponsiblePersonshouldobtaintheadviceoftheirPIIrepresentativeandthebroker/insurerbeforetheyadvisetheclientthattheremaybeanissue,theyshouldconsiderobtainingindependentlegaladviceforthecentreandafterconsultationwiththebroker/insurer,contactandcarefullyinformtheclientoftheneedtoreferthemandreferthemappropriately.Notethattheremustbenoadmissionofliabilityoranyactionorcommunicationthatmaybeconstruedasanadmissionofliability(forexample,anapology)bythecentre,unlessandaspermittedbytheinsurer:see4.7.18-20.
accesstotheresponsibleperson7.2.11 AnystaffmemberorvolunteerprovidingServicestoIndividuals(otherthan
InformationorReferral)musthavetimelyaccesstotheResponsiblePerson(ortheappropriateNominatedPerson).IntheeventthattheResponsiblePerson(orNominatedPerson)isnotimmediatelyavailableandthepersonisnotsureabouttheLegalAdviceorotherServicetobeprovidedorcourseofactiontobetaken,then:
• theclientmustbeinformedthattheAdvice/courseofactionmustbechecked,and
• theResponsiblePersonorNominatedPersonmustchecktheAdvice/courseofactionwithin24hoursorassoonasisreasonablypossible,andifnecessarytheworkershouldrecontacttheclientoncethishasbeendone.
SupervisionofOngoingServices7.2.12 ForOngoingServices,theday-to-daymanagementorsupervisionofeachfile
mustbetheresponsibilityofanemployedworker.
7.2.13 ItisrecommendedasgoodpracticethattheResponsiblePersonoraNominatedPersonconvene‘case’conferenceswithworkersatregularintervals,forexampleweeklyormonthly,astheyseefit.Thecaseconferenceisasupervisiontoolto:
• determinewhatmattersthecentrewillundertakeonanongoingbasis
• monitorcaseloads
• discussdifficultcases
• detectanyproblems,consideroptionsandimplementactionstoaddressthem
• monitorandensurecompliancewithlimitationdates,and
• ensurethatthequalityoftheserviceismaintained,andthewellbeingofstaffisprotected.
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remotesupervision7.2.14 Insomecasessupervisioncanbecarriedoutremotelybyteleconferencing,
videoconferencingorothermethods.
7.2.15 TheCountryLawyersProjectinWesternAustraliawasanexampleofwhereremotesupervisionmethodswereputinplacebyarrangementsbetweentheLegalPracticeBoard,CLCsandWALegalAid.Becauseofthelengthoftimethatrestrictedpractitionersmustbesupervised,theCountryLawyersProgramandtheWesternAustralianLegalPracticeBoardconsideredsomeflexiblesupervisionmodelsincluding:
• theintroductionof‘mobilesupervisingsolicitors’whoregularlyspenttimeintheregionswithjuniorlawyers
• useofstateoftheartelectroniccommunicationstoprovideremotesupervision
• astructuredandcollaborativeinter-agencyapproachtosupervision,bearinginmindprofessionalconflictissuesinaregionalcontext,and
• probonomentorsfromanumberoflargecommerciallawfirms.
7.2.16 Whatwillconstitutereasonablesupervisiondependsonthewordingoftherequirementsintherelevantlegalprofessionlawsandhowtheseissuesaredealtwithbythestateandterritorylawsocietyandanyotherregulatorybodyinquestion.Inpractice,itshouldalsotakeintoaccountfactorssuchas:
• theexperience,expertise,skillsandcompetenceofthesupervisee
• therangeandtypeofworkbeingundertakenbythesupervisee,andthewaysinwhichitisdelivered(forexample,inprisonsordetentioncentres,inremotecommunities,byDutyLawyerService)
• thesizeandnatureofthepractice/service(forexample,fromabranchofficewithfewstaff,trauma-informedservicedelivery,culturallysafeforAboriginalandTorresStraitIslanderpeople,oncircuit,fly-in,fly-out).
7.2.17 Itisimportantthatlawyersdonotassumethatbeingwillingtobeconsultedisadequatesupervision.ThecaselawontherelevantruleintheLegalProfessionUniformGeneralRulesmakesclearthattherequirementtoprovide‘reasonablesupervision’requirespositiveengagementbythesupervisinglawyer–havingan‘opendoor’policyisnotsufficient.Ultimately,theResponsiblePersonisresponsibleforensuringthatadequateandreasonablesupervisionisprovidedtoeverylawyer.Incentres,thisobligationextendstothesupervisionofallServiceProviders.
Supervisingbranchoffices7.2.18 Centresthatoperatebranchofficeswillneedtoensurethat:
• theycomplywithanylegalprofessionlawsrelevanttotheoperationsofbranchoffices55
• staffinbranchofficesaresuitablyqualifiedandexperienced
• staffinbranchofficesreceiveadequateandreasonablesupervision
55ACT:LegalProfessionAct2006ss208-209;NSW&Vic:LegalProfessionUniformLawss116-118;NT:LegalProfessionActs227;SA:LegalPractitionersAct1981ss23E-23I;Tas:LegalProfessionAct2007ss218-219.ThereappeartobenospecificprovisionsinQldorWA.
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• staffinbranchofficesaretrainedinandcomplywithanyriskmanagementprocessesandpoliciesincludingthisGuide.
7.2.19 AcentremaywishtodevelopadedicatedriskmanagementpolicyfortheoperationofthebranchofficeanditsworkersandprovisionofServices.
7.3 Workloads thisisaMandatoryStandard.
7.3.1 TheManagementCommitteeandtheResponsiblePersonmustensurethattheyaremindfulofthelimitsandresourceconstraintsoftheircentreanditsworkersanddonottakeonmoreworkthanstaffandvolunteers,whererelevant,canreasonablyandsafelyhandle.
7.3.2 OngoingAssistancemustbekeptwithinreasonablelimitstakingintoaccountstaffinglevels,availableresourcesandallowingforchangesinthecentre’soperationalcontext,includingunexpectedprioritydemandsorstaffchanges.
7.3.3 Workloadsshouldbecontinuallymonitoredandreviewedtoensuretheyarekeptatamanageablelevelforworkersandthatadequatesupervisioncanbeprovided.
7.4 Filereviews thisisaMandatoryStandard.
7.4.1 Thecentremusthaveacomprehensivefilereviewsystem,whetherelectronicorinanotherformsuchasahardcopydiary.Thesystemmustbeintheformofdiary/ies,calendar/sorsoftwareremindersystem.Thecentremustrecordoneachhardcopyorelectronicfileandinthesystemitself:
• thenextactiondateandthenextreviewdateforthefile
• thelimitationdateforthecauseofactionforeachfile(otherthanaone-offLegalAdviceorotherDiscreteAssistance)
• appropriateforewarningsofthatdate
• anyotherdueorcriticaldates,forexample,courtdates,andforewarningsforthosedates.
7.4.2 Thesystemmustbeaccessibleatalltimesatthecentrebyrelevantstaff(andnotonlybythepersonresponsibleforthefile).Thisistoensurethatcorrespondenceissentorattendedto,courtdatesandlimitationdatesarenotmissedandothernecessaryactionistakenonthematter,regardlessofstafforvolunteeravailabilityoranyothervariableorcontingency.Lawyersmaychoosetokeeptheirownindividualdiarysystemsbutshouldstillensurethatallrelevantinformationisonthecentralsystemsoitcaneasilybeseenbyothersinthecentreincasethelawyerisabsentorthefilecannotimmediatelybelocated.Insomecentresitmaybemorepracticableforworkerstomaintaintheirownfilereviewdiaryorsystemwithoutacentralsystem,howeverinthatcasethatdiaryorsystemmustbeaccessibletotheResponsiblePersonoratleastoneotherlawyerortheCoordinator,andtheResponsiblePersonmustensurethatentriesarereliablymade,forexample,byreasonablyfrequentrandomchecks.Ifahardcopydiaryisused,theremustbeasysteminplaceensuringthatlimitationdatesinfutureyearsaretransferredtothenextyear’sdiary.
7.4.3 Whateversystemisused,itisessentialthat:
• eachandeveryfileisreviewedatanappropriateinterval,seebelow
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• courtdatesandanyothercriticaldatesarerecordedonthefileandinaseparatediarysystemaccessiblebymorethantheServiceProviderresponsibleforthatfile
• onthereviewdateacheckisdonetoensurethatanynecessaryactioniscompleted,thecheckanditsresultsarerecordedandsignedbythecheckerinthefile(forexample,bywayofafilenote)andthereviewisalsotickedoffinthecentralsystemandanewreviewdatesetandrecorded
• checkstoensurethatlimitationdatesarenotmissedmustoccurwellinadvanceoftheexpiryofthelimitationdate
• thereareproceduresinplacetoensurethatanactiontobetakenonaspecifieddateisnotmissedduetotheabsenceofaparticularperson
• thereisaformalsysteminplacetoensurethatfilesdueforreviewarestillreviewedevenintheabsenceofthelawyerorotherServiceProviderwhowouldnormallyundertakethatreview.
7.4.4 ThelawyerorotherServiceProviderresponsiblefortheparticularmattershouldundertakefilereviewsregularly.Thereisnosingleanswertohowoftenthisshouldbedoneanditwilldependonarangeoffactorsincludingthetypeofmatterandthestageofthematter.SomecentresrequireServiceProviderstoconductfilereviewsonamonthlybasis.
7.4.5 Filereviewsshouldalsobedoneregularly,butgenerallylessoften,bytheResponsiblePersonorNominatedPerson.ThefrequencyofthesetypesofreviewswillbeaffectedbytheextentofrelevantexperienceandexpertiseofthelawyerorotherServiceProviderwiththecarriageofthematter.
7.4.6 Thereviewsystemmustidentifythefile,thereviewdateandthenameofthestaffmemberresponsibleforthefile,andthenameofthepersonallocatedtoundertakethenextactionorreview,asthismaysometimesbedifferenttothepersonresponsibleforthefile(forexample,itcouldbeactiontobeundertakenbyavolunteerassistingwiththeOngoingService.
7.5 electroniccommunications thisisaMandatoryStandard.
7.5.1 Communicationbyemailandelectronicmeansisincreasinglycommonincentresandraisesanumberofriskmanagementissues–inrelationtoformandcontent-thatcentresneedtoconsiderandaddress,forexample,ensuringthattherelevantsystemsareappropriatelysecureandthattherearenobreachesofconfidentialityorinadvertentdisclosureofconfidentialinformation.Centreworkersshouldtakethesamecareindraftinganemailoratextmessageastheywouldforanyotherwrittencommunicationandshouldnotsayanythinginanemailortextmessagethattheywouldnotbepreparedtoseeinaletteroranexhibitincourt.Centresmusthaveapolicythatdealswithuseofelectroniccommunicationsatthecentre:see8.5.8-10.
7.5.2 TheResponsiblePersonoraNominatedPersonmustensurethatthereisanelectroniccommunicationspolicythatstaffandvolunteersknowaboutitandcheckthatitisbeingfollowed.Forexample,theResponsiblePerson(orNominatedPerson)shouldcheckthathardcopyfilescontainprintoutsofrelevantemailsandotherformsofelectroniccommunication,andanyfileskeptindigitalformalsocontaincopiesofallrelevantemailsandotherelectroniccommunications.Theyshouldalsocheckthatemailsandanyotherformofelectroniccommunicationsentcomplywiththecentre’spolicy.Seethedetaileddiscussionat8.5.8-10andseethesampleEmailPolicyatappendixF.
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7.6 CommunityLegaleducation,Communityeducationandpublications
thisisaMandatoryStandard.
7.6.1 ThecurrentNationalPIIPolicy(section3.1)coversinsuredcentres‘intheprovisionoftheProfessionalServices’.ThedefinitionofProfessionalServicesincludesCommunityLegalEducation,CommunityEducationandpublications,LawandLegalServiceReformorpolicyreformServicesandmaterialsandmediareleasesand/orinterviews–see4.6.15.
7.6.2 TheResponsiblePersonoraNominatedPersonmustcheckanybrochures,publicationsorotherCommunityLegalEducation(CLE)orCommunityEducation(CE)materialsproducedbyacentre(includingspecialist,auspicedandhostedservices,programsorprojectsandbranchoffices,ifany)foraccuracyandlegalriskpriortotheirdistribution.ThisprocedureshouldextendtocheckinganyCLEorCEmaterialproducedbyothersthattheCLEorCEworkerisintendingtodistributeor‘publish’.ItistheResponsiblePerson’sdecisionastowhatservicesarewithinoroutsideofthecentre’slegalpractice.
7.6.3 Publicationsmustcontainadisclaimerastotheextenttowhichtheinformationcontainedinthepublicationcanberelieduponandtheneedforthereadertoobtainlegaladviceinrelationtotheirparticularcircumstances.
7.6.4 CentresundertakingCLEorCEactivitiesmustmakeitclearthattheinformationprovidedinthosesessionsisgeneralInformation,notLegalAdvice,andaccordinglymustnotberelieduponorappliedbyparticipantsintheirowncases.Participantsmustbeadvisedthateachsetofcircumstancesneedstobelookedatindividuallyandtheymustseekindividuallegaladviceiftheyhavealegalproblem.Forexample,‘Theinformationprovidedin_isforinformationonly.Itmustnotbereliedonaslegaladvice.Youshouldseeklegaladviceaboutyourownparticularcircumstances’.
7.6.5 CLEandCEprovidersmaychoosetodiscussde-identifiedcasestudies.Howevertheyshouldbealerttotheriskofcreatingtheperceptionthattheyareprovidingactualadviceandtothepossibilityofreceivingconfidentialinformationthatcouldleadtoaconflictofinterest.
7.6.6 WorkersconductingCLEsessionsmustnotgiveLegalAdviceduringthosesessions.CLEsessionsarenotappropriateoccasionsforobtainingsufficientandcomprehensiveinstructionsuponwhichtoprovideadvice.HoweveritmaybepossibleandappropriatetoprovideLegalAdvicebeforeorafteraCLEsessionprovidedthelawyercanensurethattheyaredoingsoinanappropriateenvironmentthatenablesconfidentialcommunication,thatproperinstructionscanbeobtained,aconflictcheckcarriedoutandaproperrecordmadeoftheinstructionstakenandLegalAdvicegiven.
7.6.7 TheResponsiblePersonoraNominatedPersonmustensurethatthecontentofCLEandCEsessionsisaccurateanduptodate,andthatworkersconductingsuchsessionsareawareoftheparametersandconsiderationsofthelawofdefamation.
Seealso7.9.
7.7 LawandLegalServicereformorpolicyreform thisisaMandatoryStandard.
7.7.1 TheResponsiblePersonoraNominatedPersonmustcheckthatanyLaworLegalServicesReformorpolicyreformpublicationorotherwrittenmaterialprepared
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bythecentre(includingspecialist,auspicedandhostedservices,programsandprojectsandbranchoffices,ifany)islegallyaccurateanddoesnotcontainanydefamatorymaterial,beforeitispublishedordistributed.Thisobligationextendstoreformsubmissionsandcampaignmaterial.
7.7.2 Thisobligationtocheckappliesalsotomaterialpreparedbyotherorganisationsorindividualsifitistobedistributedbythecentre.
Seealso7.9.
7.8 Media thisisaMandatoryStandard.
7.8.1 TheResponsiblePersonoraNominatedPersonmustcheckallmediareleasesandstatementspriortotheir‘publication’.Publicationinthiscontextdoesnotjustrefertoliteralpublishingofhardcopymaterialbutalsoincludesanycommunicationofthematerial.Theymustensurethatthecontentofamediareleaseiscorrect,thatanyriskofdefamationhasbeenconsideredandthatitdoesnotbreachanylaworlegalobligation(forexample,acourtconfidentialityorderorcontempt).
7.8.2 TheResponsibleorNominatedPersonshouldalsomakesurethatallworkerswhomayspeakwiththemedia,whetherbywayofmakingacomment,speakinginapublicintervieworotherwise,areawareoftheissuesarounddefamationandotherrelevantlaws.ItisrecommendedthattheResponsiblePersonorNominatedPersonspeakinadvancetoanycentreworkerwhowillbedealingwiththemediatomakesuretheyarealerttoandunderstandtheseissues.
7.8.3 Rememberthatthewayinwhich‘publication’isconstruedindefamationcasesmeanscommunicationtoanythirdparty,soitisparticularlyimportantthatanymaterialthatmaybedefamatoryiscarefullyconsideredpriortoanysortofpublicationtoanotherperson,includingbywayofmediacomment,emails,bulletinboardandwebsitepostings.
Seealso7.9.
7.9 ServicesfortheCommunity(CLe,Ce,LawandLegalServicesreform,Stakeholderengagement)andMedia:filesandrecords
7.9.1 ItisrecommendedasgoodpracticetoopenafileandtorecordonCLASSorthecentre’sotherdatasystem,eachServicefortheCommunity,thatis:
• CommunityLegalEducationorCommunityEducationResourcesorActivities
• LaworLegalServicesReformorpolicyreformpublication,submissionorcampaign,or
• StakeholderEngagement.
Itisalsorecommendedthatthecentreopenafileandrecordontheirdatasystemeachmediaactivity.
7.9.2 Thisfileshouldcontainthefollowinginformation,asrelevant:
• projecttitle
• Servicetype
• projectdescription
• projectstartandenddate(ifknown)
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• projectstatus,hours
• activitydate/s
• location
• attendances
• projectactivityoractivities
• workernames
• evaluationdetails.
7.9.3 Itisworthnotingthatinrecenttimes,themajorityofnotificationsforpossibledefamationhaveoccurredinrelationtoLawandLegalServiceReformandcampaignwork.
7.10 Specialist,auspicedorhostedservices,programsandprojects
7.10.1 Theterms‘auspicedproject’or‘auspicedservice’or‘hostedservices/projects’areusedtodenoteafundedprojectorprogramwhich,tosomeextentcanbeseenashavingitsownseparateidentity,butisconductedundertheauspices–withthesupportof–ofalargerlegalentity.
7.10.2 Thistypeofauspicedorhostedservice,programorprojectcanbedistinguishedfromcaseswheretheCLChas,asanintegralpartofitscoreservicedelivery,aspecialist(andsometimesspecialist-funded)projectorservice,suchastheWomen’sDomesticViolenceCourtAdvocacyServices(WDVCAS)inNSW,TenancyAdviceandAdvocacyServices,WelfareRightsandFinancialCounsellingservices.
7.10.3 Itisimperativethatacentrethatconductssuchaspecialistservicelistsand/ordescribesthatserviceinitsPIIapplicationandannualPIIrenewalapplication.Providedthatthishasoccurred,theworkersinthesespecialistprojectsinCLCsarecoveredbythatcentre’sNationalPIISchemePolicy.Itfollowsthatthewholecentre,includingthespecialistservice,mustcomplywithalltheMandatoryStandardsoftheGuide(seeChapter2),includingconflictcheckingacrossthewholeofthecentre.Similarly,anauspicedorhostedservicecanbecoveredbyaCLC’sPIIpolicyundertheNationalPIISchemeprovidedthatitis,inalegalsense,partofandcontrolledbytheCLCintherelevantperiodandtheCLChas‘declared’theserviceaspartoftheCLC’sProfessionalServicesintheirPIIapplication-andtheapplicationwasacceptedbytheinsurer.
7.10.4 Someauspicedservicesmayhavetheirownseparateinsurancearrangementsanditisimportantthatthecentreconsidersanddecideshowbesttoensurecoverfortheserviceandforthecentre.Considerationshouldalsobegiventoanypossible‘double’insurance,andwhetheritmightjeopardisecoverageforeithertheCLCortheservice(see4.10).Acentremaywishtoobtainlegaladviceaboutthis.Itisopentoacentretochoosetohavethespecialistserviceinsuredbyanotherpolicy,andonlyhavetheremainderofthecentre’sServicescoveredundertheNationalPIISchemepolicy–providedthatbothinsurersknowandacceptthisarrangement.
7.10.5 WheretheauspicedserviceiscoveredbytheNationalPIIPolicy,thecentremustensurethattheservice,alongwiththerestofthecentre,complieswithallMandatoryStandardsoftheGuide(seeChapter2)includingconflictcheckingacrossallservicesofitshostCLC–andviceversa.
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7.10.6 Whereaspecialistproject,programorserviceiscoveredbytheNationalPIIPolicy:
• anyLegalAdviceorotherDiscreteAssistanceorOngoingServicesprovidedbytheproject/servicemustbeopenedasarecordofthecentre
• projects/programs/servicesmusteitherusethecentreletterhead(whichmaythenhaveasubheadinginthenameoftheproject/program/service)orclearlyindicateonitsletterheadthatitisaserviceofthecentre
• project/program/serviceworkersmustsigncorrespondenceovertheirstatedposition,forexample,tenancyworker
• whereappropriate,project/program/serviceworkersmustadviseclientsthattheremaybe(other)legalissuesorramificationsinthematterandreferthemtolegalpractitionersatthecentreortoanotherappropriatecentreorlawyerforthatadvice
• theproject/program/servicemustbeincludedintheannualcross-checkofthecentre.Accordingly,recordsofLegalAdviceandotherDiscreteAssistanceandfilesforOngoingServicesforIndividualsorServicesfortheCommunityoftheauspiced/specialistservicearetobeincludedinthecross-checkandanyworkersorvolunteerswhoareNominatedPersonsmustbeinterviewed.
7.11 Volunteers This is a Mandatory Standard.
7.11.1 TheNationalPIIPolicydefines‘Employee’toinclude(amongotherthings)‘...avolunteerworkerorstudent’.Thusthesameprofessionalindemnityinsuranceprotectionappliestoavolunteerastoanemployee,whensuch:
…is(orwas)atthetimeoftheact,errororomissionwhichgaverisetotheClaimunderYour (NamedInsured’s)directcontrolandsupervisionintheprovisionofProfessional Services.)
7.11.2 TheResponsiblePersonorNominatedPersonmustsupervisethelegalandnon-legalservicedelivery(whetherforindividualsorcommunity)workofvolunteers. Seeinparticular7.3 above. Allnewvolunteersmustparticipateinatrainingandorientationprogram. Anorientationpackagemustbegiventoeachnewvolunteer,whichincludes:
• asaminimum,informationaboutthisGuideanditsrequirements,andhowtoaccessit
• policiesandproceduresofthecentre(ataminimum,theConflictsofInterestpolicy),includingofficeprocedures,guidelinesforServicesforIndividuals.
7.11.3 Eachcentreisencouragedtoprovideanongoingtrainingprogramforvolunteerstokeep themuptodatewithchangesatthecentre,developmentsinrelevantareasoflaw,anddevelopmentsinriskmanagementproceduresorpoliciesatthecentre.
Seealso6.7.6-7and7.5.
7.12 Students and clinical programs7.12.1 Placementsofstudentsforworkexperience,practicallegaltraining(PLT)orclinical
legalstudiesprogramsaresubjecttothesameriskmanagementpracticesasanyotheraspectofCLCpractice.Asmentionedin7.11.1,studentsareclassifiedas‘EmployeesundertheNationalPIIPolicy.
7.12.2 Becauseofthediversityoftheprogramsandclinicsutilisedbycentres,aone-size-fits-allapproachcannotbetaken.Thevariableelementsthatmayneedtobe
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takenintoaccountinclude:
• sizeofthecentre
• numberandavailabilityoflawyersorotherrelevantspecialistworkers(forexample,socialworkers)suitableandavailableforprovidingsupervision
• numberofstudents
• student/practitionerratio
• academiclevelandstandard,andrelevantexperienceortraining,ofthestudent
• typeofworkundertaken
• whetherornotandforwhatpurpose,thestudentinteractswithclients.
Somecentreswill,forexample,onlytakeaPLTplacementifthatpersonhascompletedsomerelevantskillstraining,forexampleclientinterviewing,orculturalawareness.
7.12.3 Centresthatprovideaclinicallegaleducationprogramorclinicmustensurethattheprogramorclinicisdescribedinadequatedetailtotheinsurerfortheinsurertohaveafullunderstandingofwhatisinvolved–andanypotentialrisks.
7.13 DutyLawyer/advocateservices7.13.1 Somecentresarefundedtoprovideadutylawyerrolewhileotherschooseto
provideaDutyLawyer/advocatetypeservicetofillagapinlegalassistanceprovisionintheircatchmentarea.Thismaybein,forexample:
• local/magistrates’courts
• stateandterritorycriminalcourts
• federalcircuitsandfamilycourts
• tribunals.
7.13.2 AnyDutyLawyer/advocateservicesconductedbythecentreshouldbeclearlydescribedintheoriginalapplicationforPIIandineachPolicyrenewalapplication.
7.13.3 Fromariskmanagementperspectivethecentreshouldalsomakesurethatitcomplieswithanyguidelines,termsorconditionofthecontractsenteredtoprovidethoseservices.ThecentrewillneedtohaveasysteminplacetoenableconflictofinterestscreeningofclientsutilisingtheDutyLawyer/advocateservice,forexample,remoteaccesstothecentre’sclientdatabaseortelephoneconflictscheckspriortotheprovisionofanyLegalAdvice,DutyLawyerServiceorRepresentationServices.See6.7.
7.14 ContractworkforLegalaidCommissions AnycentrethatactsasasupplierofServicesforIndividualsorServicesforthe
Community(forexample,CLE)toastateorterritorylegalaidcommissionmustensurethatthoseservicesaredescribedintheapplicationforinsuranceandannualrenewalform.Thisincludescontractsfor:
• workasapreferredsupplierofLegalorotherServices
• remotesuppliers
• independentchildren’slawyersorseparaterepresentatives
• panelpractitioners.
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CHAPTER 8
ServicesforIndividualsInthischapter:8.1 Writtenguidelines 107
8.2 Conflictofinterestcheck 107
8.3 Intakerecordsandprocedures 108
8.3.2 Client’sname,dateofbirthandcontactdetails 108
8.3.5 NamesofOtherParties 108
8.3.7 Indicationthataconflictofinterestcheckhasbeenperformed 108
8.3.9 Dateinstructionsreceived 108
8.3.10 TypeofService 109
8.3.11 Clientidentifier,filenumberandfileregister 109
8.4 Instructions 109
8.5 LegaladviceandotherDiscreteassistanceServices 110
8.5.1 ProfessionalbasisforAdvicemustbedisclosed 110
8.5.3 RecordofAdvicegiventoclients 110
8.5.4 Limitationandothercriticaldate/s 110
8.5.7 DateandsignatureofpersongivingAdvice 111
8.5.8 LegalAdviceandotherassistancegivenbyemailorotherformsof 111 electroniccommunication
8.5.11 Advicetothirdparties 112
8.5.16 RetentionanddestructionofAdvicerecords 112
8.5.19 DutyLawyerServices 113
8.6 OngoingassistanceServices 113
8.7 Centre’sdatabaseanditsroleincentreriskmanagement 113
8.7.2 Dataentryforconflictchecking–accuracyandcompleteness 113
8.7.5 OtherPartiesandrelatedclients 113
8.7.6 Duplicateclients 114
8.7.7 Timelinessofdataentry 114
8.7.9 Trainingforconflictchecking 114
8.7.11 Datadefinitionsandtraining 114
8.7.13 Scopeofdatarecordingincentres’databases 115
8.7.15 Datasecurityandunauthorisedaccess 115
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8.8 Files 115
8.8.2 Filenumberandfilerecorddate 115
8.8.3 Letterofengagementorclient/litigationagreement 115
8.8.3 LimitationDate 116
8.8.6 Frontoffileinformation 116
8.8.9 Filenotes 117
8.8.10 Incomingoroutgoingcalls 117
8.8.11 Correspondence,courtdocuments,evidenceanddisbursements 117
8.9 Clientinformationsecurity 118
8.10 Filemovements 118
8.11 Clientrecords 119
8.12 Fileownership 119
8.13 Closingfiles 120
8.13.1 Preparationforclosure 120
8.13.2 Closure 120
8.14 archivinganddestruction 120
8.14.2 Archivingfilesphysically 121
8.14.3 Archivingfileselectronically 121
8.14.6 CLSISandCLASSrecords 122
8.14.7 Destroyingfiles 122
8.15 Clientlegalprivilege 123
8.16 thirdpartyaccesstoclientinformation 123
8.16.3 Thirdpartyornon-partydisclosure 123
8.16.7 Subpoenas 124
8.17 Coercivepowers 124
8.18 Freedomofinformation 125
8.19 privacylaws 125
8.20 Libraryandarchiveslaws 125
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8.1 Writtenguidelines thisisaMandatoryStandard.
8.1.1 Centresmusthavewrittenguidelinesaboutthetypesofwork–LegalAdviceandOtherDiscreteAssistanceServicesandRepresentationandotherOngoingAssistanceServices–theywill,andwillnot,takeon,includingspecifyinganycriteria,parametersand/orpriorityconsiderations.ThesemayrefertotypesandnumbersofServicesand/orclients.InrelationtoOngoingAssistance,theguidelinesshouldincludethetype,amountorlevelofAssistancethatwillbeprovidedtoclients.Centresmay,butarenotrequiredto,alsoincludeintheseguidelinessimilarconsiderationsandcriteriaforprovidingServicesfortheCommunity,suchasCommunityLegalEducation,CommunityEducationorLawandLegalServicesReform.
8.1.2 AllworkersandManagementCommitteemembersmustbefamiliarwiththeseguidelinesandproceduresmustbedevelopedtoensurethatallcentreServiceProviders,paidandvolunteer,complywiththem.
8.1.3 Theguidelinesmustattheveryleasttakeaccountofthefollowing:
• theparticularknowledgeandexpertiseoftheResponsiblePersonandcentrestaff
• thecapacityofthecentretotakeonworkbothgenerallyandspecificallyoftheparticulartype
• theavailablehumanandotherresourcesofthecentre
• othercriteriaasdeterminedbythecentre(forexample,target/priorityclientgroups,fundingandfundingreportingrequirements)
• therisksassociatedwithcertaintypesofwork(forexample,wills,personalinjuryandpropertymatters).
8.1.4 CentresthatreceivefundingthroughtheNPAarealsorequiredtomeetandreportoncertainPerformanceIndicatorsandBenchmarks(clauses17-18)thatrelatetoCommonwealthClientandServicePrioritiesandCommonwealthEligibilityPrinciplessetoutininScheduleBoftheNPA,and,whererelevant,therequirementsoftheirstateorterritoryprogram’sServiceAgreement.
8.2 Conflictofinterestcheck thisisaMandatoryStandard.
8.2.1 AcentremustconductafullconflictofinterestcheckbeforegivingLegalAdvice(whethertheadviceisgiveninperson,onthetelephone,orinanyotherform)orotherDiscreteAssistance(otherthanInformationorReferral)orcommencingprovidinganyOngoingAssistanceforaperson.Therearesomeverylimitedsituationswhereafullconflictcheckisnotrequired(setoutat6.7.58-69)but,absentthoseexceptionalcircumstances,thisisamandatoryrequirement.
8.2.2 Afullconflictofinterestcheckinvolvescheckingtheclient’sname(ornames)andthename/softheotherparty/iesonthecentre’sdatabase/s.Thisisdiscussedindetailat6.7andseealso8.3below.
8.2.3 Allcentresmusthaveaconflictofinterestpolicy,includinganexplanationofrequiredproceduresthatmustbefollowed:see6.7.6.Onlystaffandvolunteerswhohavebeentrainedtoidentifypotentialandactualconflictofinterestshouldbeinvolvedatintake.
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8.3 Intakerecordsandprocedures thisisaMandatoryStandard.
ThissectiondoesnotrefertocontactwithapersonthatonlyinvolvesprovidingInformationand/orReferral.
8.3.1 ThefollowinginformationmustberecordedforallpotentialclientsuponintakeforAdviceorotherDiscreteAssistanceorOngoingServicesorDutyLawyerServices,includingfortelephoneandface-to-faceAdviceand/orLegalTaskandforAdvicegivenand/orLegalTaskperformedatoutreachprograms.
Client’sname,dateofbirthandcontactdetails8.3.2 Theclient’scontactdetails(fullname,dateofbirth,addressand/orphone
number)mustberecordedwhereverpossible.Theclient’sfullnameandanypreviousorothernamesincludingspellingvariationsshouldalwaysberecorded.Adateofbirthisaveryusefulidentifierandmustberecordedwheneverpossible.
8.3.3 Exceptionalcircumstancesmayexist,suchaswheretheclientisunabletoprovidetheiraddressand/orphonenumberforreasonsofhomelessness,accommodationinarefugeormentalillness.Inthesecasestheclientshouldbeaskedwhetherthereissomewaytheycanbecontacted(forexample,tosendcorrespondence,toleaveamessage),forexample,throughafamilymember,obtainingthephonenumberoftherefugeorofanorganisationtheycomeintocontactwith.Ifso,theclient’spermissionshouldbeobtainedtorecordthatinformationandtocontacttheminthisway.
8.3.4 Whereaclientisunableorrefusestoprovidecontactdetails,theclientmustbetoldthatthecentrewillnotbeabletocorrect,updateoraddtotheAdvicegivenuponcheckingoftheAdvice.ThefactthatthisinformationwasgiventotheclientmustalsoberecordedontheAdvicerecord,togetherwitharecordthattheclientrefusedorwasunabletoprovidethosedetails.
NamesofOtherparties8.3.5 ThefullnameornamesofanyOtherPartymustberecordedwhereveritis/they
areascertainable,unlesswithintheverylimitedsituationssetoutat6.7.58-69.WherethenameofthePartyisunknownbecauseitcouldnotbeobtained,thatfact(aswellasthestepstakentoobtainthename)shouldberecorded.WheretheOtherPartyisagovernmentagency,thepoliceorabusiness,thatfactandanyotherspecificidentifyinginformationavailablemustberecorded.
8.3.6 WhereaclientrefusesorisunabletoprovidethenameoftheOtherParty,thecentrecannotprovideLegalAdviceorotherAssistance(otherthanInformationandReferral)exceptintheverylimitedsituationssetoutat6.7.58-69.
Indicationthataconflictofinterestcheckhasbeenperformed8.3.7 See6.7andsee8.2above.Theconflictofinterestcheckandtheresultshouldbe
recordedontheLegalAdviceorotherclientorServicedatarecord.Somecentresstampthecoredata/advicerecordindicatingthatthecheckhasbeendone,otherswriteortick‘conflictcheckdone’ontherecord.
8.3.8 Centrescanalsoincorporatearelevantfieldintotheirdatabasetoindicatethataconflictcheckhasbeendoneorisnotapplicable:thisisrecommended.
Dateinstructionsreceived8.3.9 ThisdatemaybedifferentfromthedatetheLegalAdviceorotherDiscrete
AssistanceServiceisgiven.NotethatthedateonwhichtheServiceisgivenmustalsoberecorded.
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typeofService8.3.10 ThetypeofServicewillvaryaccordingtowhethertheworkisDiscreteAssistance
orOngoing,LegalorNon-Legal,ServicesforIndividualsorServicesfortheCommunity,butinanyeventspecificity,accuracyandconsistencyareimportant.Inrelationtofilesandrecordsconcerningworkthatisnotdirectlegalornon-legalServicedeliverytoclients,butServicesfortheCommunity,suchasCLE,CE,LawandLegalServicesReform,ormediawork,see7.9.
Clientidentifier,filenumberandfileregister8.3.11 Theremustbeauniqueclientidentifierforeveryclient.Thisshouldbeanumber/s
orletter/numbercombination–itshouldnotbeanameastheremaybemorethanonepersonwiththatname.Whereafileisopened,thefilemusthaveauniquefilenumber.AllLegalAdviceandOtherDiscreteAssistancerecordsandfilesmustbereadilyretrievable.Centresmusthaveacentralfileregisterinsomeform(thismaybetheirdatabaseortheCLASSdatasystem)andafilingsystemthatallowsallclientfilesandotherrecordstobelocatedbynameandnumberandtheirstatus(open/closed)recordedandeasilyascertained.Seealso8.8.
8.3.12 ItisdesirablethatallfilesforCLE,LawandLegalServiceReformorotherServicesfortheCommunityalsohaveanidentifyingfilenumber:see7.9.CLASSwillassignauniqueclientandServiceidentifierforeachServiceprovided.Somelegalprofessionlawsmayalsorequireadditionalspecificinformationtoberecordedinthefileregister.Forexample,NSWandVictoriarequirethefileregistertorecord(inrespectofeach‘matter’)theclient’saddress,thedateofreceiptofinstructions,andashortdescriptionoftheservices,whichthelegalpracticehasagreedtoprovide(aswellastheclientidentifier).56
8.4 Instructions thisisaMandatoryStandard.
ThissectiondoesnotrefertocontactwithapersonthatonlyinvolvesprovidingInformationand/orReferral.
8.4.1 Alllegalandnon-legalproblemsmustberecordedlegiblyandinsufficientdetailsothatthenatureoftheproblemandclient’senquiryisclear.Anoutlineofinstructionsshouldincludearecordoftherelevantfactsandtheclient’sinstructionsastowhatissuestheywantresolvedandinwhatway.TherecordshouldalsoincludethenatureoftheAssistancethattheclientisseekingorthatisrequiredtoaddresstheproblem,theformofDiscreteAssistanceorOngoingAssistanceServicethattheServiceProviderorcentreistoprovide,andthattheclientacceptsthis.CopiesofanylettersorotherrelevantdocumentsthatarerelevanttotheproblemmustbesecurelyfastenedtotheclientLegalAdviceorotherDiscreteAssistanceorOngoingAssistancerecordorfile.
8.4.2 Itmaybeprudent,atleastinsomeinstancesandwherepracticable,tohavetheclientsignarecordconfirmingtheinstructions.InthecaseofOngoingAssistance,atleastwithregardtolegalServices,itisrecommendedthataletterofengagementorletterconfirmingtheinstructionsissentorprovidedassoonaspossibleafterinstructionsaretaken.
56LegalProfessionUniformGeneralRules2015(NSW;Vic)r93(2).
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8.5 LegaladviceandotherDiscreteassistanceServices thisisaMandatoryStandard.
professionalbasisforadvicemustbedisclosed8.5.1 Peoplewhoarenotlegallyqualifiedorwhoarelegallyqualifiedbutdonothave
acurrentpractisingcertificatemustnotholdthemselvesoutasalawyerorotherwiseimplyorallowbytheirbehaviourotherstoreasonablyinfer,thattheyarealawyer.
8.5.2 Thisissuecanbeparticularlyrelevantforworkersinsomeauspicedorspecialistprojects(forexample,WDVCAS57orothercourtsupportworkers),orlawstudentsandothervolunteersinvolvedininitialinterviewsorfollowupattendances.Theyshouldintroducethemselvesandtelltheclientimmediatelyorassoonasispracticablypossiblewhattheirstatusiswithwordstotheeffectof‘Iamnotalawyer,Iamalawstudent’or’Iamnotalawyer,Iamatenancyworker’.Similarly,itisjustasimportantforanyServiceProvidertoidentifyassoonaspossibletheirroleandrelevantexperienceandexpertise,includingwhethertheyarealawyerornon-lawyer.Forexample,asocialworker,domesticviolencecounsellororfinancialcounsellorshouldmaketheirqualificationsandroleclear,aswellascorrectingoravoidinganypossiblemisunderstandingsabouttheirexperienceandrole.Anytitlesusedbyworkersshouldbeclearandunambiguous.Legalprofessionrulesinthedifferentjurisdictionssetouttheappropriateuseoflawyertitles.
recordofadvicegiventoclient8.5.3 ArecordofallAdvicegivenmustbenotedontheclient’sfileorAdvicerecord.This
mustbelegibleandrecordedinsufficientdetailsothatitiscleartoanyonewhoreadsitwhatAdvicewasgiventotheclient,andwhoprovidedthatServiceandonwhatdate.AnyotherAssistanceprovided,forexampleaLegalTaskorReferralsorotherInformationshouldalsoberecorded.
Limitationandothercriticaldate/s8.5.4 Whenfirstseeingaclientandobtaininginstructions,oneofthelawyer’sfirst
prioritiesistoascertainifthetypeofproblemissuchthatthereisormaybealimitationorothercriticaldate/s.
8.5.5 Aclientmayapproachacentrewithoneoranumberofdifferentproblems,oranumberofpossiblecausesofactionmayariseoutofthesamesetoffacts(forexample,victim’scompensation,worker’scompensation,personalinjuryclaim).Theclientmustbeadvisedofallrelevantlimitationdatesoriftheprecisedateisnotknown,therelevantlimitationperiodforeachpossiblecauseofaction.TheworkershouldrecordontheServicerecord/filethattheclienthasbeenadvisedofrelevantlimitationdates,whatthelimitationdate/sandappropriateforewarningdatesare,andthesedatesmustalsoberecordedinthecentre’sfileregister/reviewsystem.Ifthecentreisnotabletoadviseinanyparticularareaoflaw,theclientmustbetoldthatadviceshouldbeobtainedinrelationtothoseareasand,aslimitationdatesmayapply,thatadviceshouldbesoughtimmediately.
8.5.6 Thesepracticesshouldalsobefollowed,adaptedasnecessary,foranyothercriticaldates,forexamplecourtdates.
57Wome’sDomesticViolenceCourtAdvocacyServices(inNSW).
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Dateandsignatureofpersongivingadvice8.5.7 ThepersongivingtheAdvicemustrecordtheirname,andsignanddatethe
Advicerecord.WherenopapercopyexiststheelectronicrecordmustclearlyrecordwhogavetheAdviceandthedateitwasgiven.
Legaladviceandotherassistancegivenbyemailorotherformsofelectroniccommunication
8.5.8 CentresmaywishtoprovideLegalAdviceandperhapsLegalTaskassistance(forexample,assistancewithdraftingadocument)orDiscreteNon-LegalSupportorInformationorReferralbyemailorotherformsofelectroniccommunicationsoastoincreaseaccessibility,forexampletopeoplewithadisability.CentresmusthaveapolicyandproceduresforhowServiceProvidersmayprovideServicesbyemail(andotherelectroniccommunicationswithclients):see7.5.EvenifacentredecidesnottoprovideDiscreteAssistancebyemailorotherformsofelectroniccommunication,itmuststillhaveapolicyfordealingwithpeoplewhomaymakecontactviaemailorotherformsofelectroniccommunication,includingifandwhenandhowaServiceProvidershouldrespond.
8.5.9 IfacentreprovidesLegalAdviceorotherDiscreteAssistancebyemailoranotherformofelectroniccommunication,theMandatoryStandardsinthisGuideapplytotheprovisionofthatserviceinthesamewayastoadvice/assistancegiveninperson,bytelephoneorbyhardcopywrittencommunication.Forexample:aconflictofinterestcheckmustbedonebeforegivingAdvicebyemailoranotherformofelectroniccommunicationandarecordmadeandkeptthatthiswasdone.
8.5.10 Acentre’selectroniccommunicationspolicymust,asaminimum:
• requiremessagestobeappendedwithanappropriatedisclaimerconcerningconfidentiality,privilegeandincorrectaddressees(someexamplesappearatAppendixF)
• outlinethecentre’sprocedurefordealingwith(new)emailinquiriesandrequestsforInformationorAdvice.(Forexample,‘[Centre]doesnotprovideLegalAdvicebyemail.Pleasetelephonetomakeanappointment...)
• ifAdviceisgivenbyemail,ensurethatthepolicyandproceduresincorporatetherelevantMandatoryStandardsofthisGuide,forexample,conflictofinterestchecks,recordingofclientandServicedata,fileopening,checkingofAdviceandanyotherDiscreteAssistanceprovided
• requirethatallemailorotherformsofelectroniccommunicationrelatingtoclientsreceivingOngoingServices,areprintedoutandplacedintheirhardcopyfileand/orfiledandstoredontheirelectronicfile
• ensurethatconfidentialinformationisprotectedadequately.Sendingofconfidentialinformationbyemailorotherformsofelectroniccommunicationshouldbeavoidedasmuchaspossiblebecauseitisnotsecure–andindeedmaybepassingoutsideofAustralia.Ifconfidentialinformationmustbesent,ideallyitshouldbeprotectedforexampleby‘readonly’formatand/orbyapassword.Ifconfidentialinformationisreceivedbyemailitshouldberecordedelsewhere,forexamplestoredinasecureelectronicclientfileoracopyprintedoutandplacedonahardcopyfile,anditsconfidentialityprotectedinthesamewayasotherhardcopymaterialonthefile.
AsampleEmailPolicyappearsatappendixF.
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advicetothirdparties8.5.11 CentresmustnotprovideAdvicetoathirdparty(thatis,toapersonwhorequests
Adviceonbehalfofanotherperson)exceptinexceptionalcircumstances,forexample:
• itisapersonwhoclearlyactswiththeclient’sconsentorwithcleardelegatedauthorityfromanorganisation
• itisapersonrepresentingtheclientinaprofessionalcapacity,forexample,asolicitor,asocialworker,welfareworkerand/orfinancialcounsellor
• theclientisphysicallyincapacitatedorhospitalised,and
• theclientlacksthecapacitytogiveinstructions,or• apowerofattorneyorguardianshipisheld(andtheServiceProviderhas
sightedthesedocuments).8.5.12 Theprimaryreasonforthisisthatitisthatthethirdpersonisoutsidethe
privilegedsolicitor/clientrelationshipandalsoitnotpossibletobecertainthatthethirdpartyisawareofalltherelevantfactsorgivingcorrectorcompleteinstructionstotheServiceProvider,norisitpossibletobecertainthattheAdvicegiventothethirdpartywillberelayedentirelyoraccurately.Inaddition,theremaybe,ortheremaydevelop,aconflictofinterestbetweenthethirdpartyandtheclient.
8.5.13 BeforeprovidingAdvicetoathirdparty,theServiceProvidershouldascertainwhetheritispossibletocommunicatedirectlywiththeactualclient.Ifitisnot,thereshouldbesomerecordedevidencethattheServiceProviderhasusedtheirbestendeavoursinthecircumstancestoconfirmthatthethirdpartyisactingforandinthebestinterestsoftheclientandthatthereisnoreasonablebasisforthinkingthatthereisaconflictofinterestbetweenthethirdpartyandtheclient.
8.5.14 IfthecentreintendstoprovideAdvice,theactualclient’snameandthename/sofOtherPartiesmustbeobtainedsoaconflictcheckcanbeperformedanddetailsenteredontherelevantdatabase.Itisgoodpracticetoalsorecordthenameofthethirdparty,atleastontheAdvicerecordorfile.
8.5.15 Seethediscussionat6.7.23-26onsomeoftherisksandconsiderationstobetakenintoaccountwhereacentrelawyerorotherServiceProviderisconsultedbyalawyerorServiceProviderfromanothercentreororganisationwhohasthedirectcontactwiththeclient.
retentionanddestructionofadvicerecords8.5.16 AnAdvicerecord(knowninsomecentresasanadvicesheet)isarecordofaone-
off,Adviceand,ifrelevant,otherDiscreteAssistanceprovidedatthesametimetoaclient.(AdvicemayofcoursealsobegivenatthebeginningoforduringthecourseoftheprovisionofanOngoingAssistanceService,inwhichcaseitwouldberecordedonthefilerelatingtothatService.)CentresmustkeepeveryAdvicerecordforatleast7yearsfromthedatetheAdvicewasprovided.Generallyafterthistimetherecordmaybedestroyed,withoutnoticetotheclient.However,beforedoingsocentresshouldconsiderwhetherinaparticularinstancetherearecircumstanceswarrantingalongerperiodofretention,includingtheprovisionsofrelevantlegislationconcerninglimitationperiods,suchaswheretheclientisorwasachildorotherwiseunderalegaldisabilityatthetimetheServicewasprovided.
8.5.17 BeforedestroyinganydocumentsorcopiesofdocumentsattachedtoaAdvicerecordacentremustconsiderwhetherthosedocumentsoughttobereturnedto
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theclient,forexample,theyareoriginalsorotherdocumentstowhichaclientisentitled.
8.5.18 WhereafileisopenedinrelationtoanOngoingAssistanceServiceprovidedtoaclient,see8.14regardingarchivinganddestructionrequirements.
DutyLawyerServices8.5.19 ServicesdeliveredbyDutyLawyerswillgenerallybeDiscreteAssistanceServices.
TheaboverequirementsthereforealsoapplytoanyAdviceorotherDiscreteAssistancethatisprovidedasaDutyLawyerService.DutyLawyerServicesmayalsoleadtofurtherandongoingassistancebeingprovided,inwhichcasetherequirementsoftheGuidewillapplyassuch.
8.6 OngoingassistanceServices thisisaMandatoryStandard.
TheaboverequirementsinrelationtoLegalAdviceandotherDiscreteAssistanceServicesapplyalsotoOngoingAssistanceServices,indeedmanysuchServicescommenceasarequestforLegalAdviceandthenoratsomelaterpoint,theServiceProviderwillformtheviewthattheclient’sproblemshouldbetakenonbythecentreforOngoingServiceprovision.
8.7 Centre’sdatabaseanditsroleincentreriskmanagement8.7.1 ManyCLCshavereliedheavilyforseveralyearsonCLSISformanagingkeyareas
oflegalpracticeriskmanagementincentres,particularlywithregardtoconflictchecking.CLASShasbeendevelopedtoprovidethesamefunctionalityasCLSISforconflictchecking.
Dataentryforconflictchecking–accuracyandcompleteness8.7.2 Conflictcheckingusinganydatabaseisonlyasreliableasthequalityofthedata
recordinganddataentrythatcentresmaintain.Further,tobemosteffective,centresmustimplementanumberofaccessandusageprotocolsandstandardsrequiredbyCLASSortheirowndatabaseprovider.
8.7.3 Foreffectiveandreliableconflictchecking,dataentrymustbeaccurateandcomplete.Theclient’snameistheprimarydatausedinconflictchecking,andspecialcaremustbetakenwhenenteringthisdata.Anyothernamesthatareorhavebeenusedbytheclientand/oralternativespellingsshouldalsoberecordedwithequalcare.AccuratelyrecordingthenameoftheOtherPartyorPartiesisalsocritical.
8.7.4 Supplementarydatathatcanbeusedtoidentifyaclientshouldbecollectedwhereverpossible.Thisincludesdateofbirth,fulladdressdetails,andphonenumber–researchhasshownthataperson’smobiletelephonenumberisoneofthemostreliableidentifiers,particularlyovertime.
Otherpartiesandrelatedclients8.7.5 AreliableconflictcheckispossibleonlyifcompletedetailsoftheOtherParty
orPartieshavebeenrecorded(seeNamesofOtherPartiesaboveat8.3.5).Inallmatters–otherthanthosewithintheverylimitedexceptionsat6.7.58-69andtheveryfewtypesoflegalproblemthatdonotinvolveOtherParties–thenamesofallOtherPartiesmustberecordedinthecentre’sdatabase.TheaccuracyofOtherPartyidentifyingdataisnolessimportantthanthatofclient’s.WhereLegalAdviceoranotherDiscreteAssistanceorOngoingAssistancehasbeenprovided
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tomorethanoneperson–forexampleadvicetoamarriedcouple–oneclient’sdetailsmustbeenteredintothe‘clientdetails’screen,andtheotherclientshouldstillberecordedas‘Relatedclient’orwhatevernameforotherclientthedatabaseprovides.
Duplicateclients8.7.6 EachclientmustberecordedonlyonceinCLASS,orthedatabasethecentreuses.
Ifthereismorethanonerecordforaclientthereisariskthatinformationabouttheclient,includingtheirservicehistory,isspreadamongmultipleclientrecords.Thisincreasestheriskofincorrectresultsfromtheconflictcheck.Duplicateclientdatashouldbecorrectedassoonaspossible,andworkersundertakingdataentryshouldbetrainedtoavoidcreatingduplicatecliententries.
timelinessofdataentry8.7.7 ItismandatorythatclientdetailsandServicedataisrecordedinCLASSorthe
centre’sowndatabaseassoonaspossible.CLASSiscloud-basedanditisexpectedthatsomeServiceProviderswillentertheclientandServicedataatthetimeofServiceprovision.WhereServiceProviderscompletehardcopyrecordsfirst,forentrybyotherslater,itiscriticalthatthisisdoneverypromptly.DelayinenteringdataintoCLASSorotherdatabasesubstantiallyincreasestheriskofincorrectconflictcheckresults.
8.7.8 Itisrecommendedthat,wherethedatasystempermits,centresconsidermaking‘temporarydataentries’forclientsmakingappointmentstoensurethataccurateconflictcheckingoccursduringtheperiodbetweenthetimewhentheclientisgivenanappointmentandwhentheyattendit.Thisway,iftheOtherPartycontactsthecentreforLegalAdviceorotherAssistanceinthatperiod,thecentrewillbeabletoidentifythatithasaconflictofinterestandcanmakeanappropriateReferralforthesecondparty.OncetheclienthasattendedforAdvice,thedataentryisupdatedtonotethattheclienthasattendedforAdviceandthe‘temporaryentry’isdeleted.
trainingforconflictchecking8.7.9 Workersresponsibleforundertakingconflictchecksmustreceiveadequate
training.Inaddition,allworkersenteringclientandServicedatamustbeproperlytrainedbothaboutuseofthedatasystemitselfandtobemadefullyawareoftherequirementsfordatacompletenessandaccuracy,anditscriticalimportancetoconflictcheckingandtheroleofthedatasysteminidentifyingandmanagingconflictriskatthecentre.
8.7.10 AllServiceProvidersprovidingLegalAdviceorotherDiscreteAssistanceorOngoingAssistanceServicestoIndividualsmustbetrainedintheconflictcheckingproceduresestablishedandimplementedatthecentre.Seealso6.7.7.
Datadefinitionsandtraining8.7.11 CentresfundedandreportingundertheNPAmustcomplywiththe
Commonwealth’sDSMandNPAdatareportingrequirements58,includingdatadefinitions.ThepeopleprovidingDiscreteandOngoingAssistanceservicesaretheprimarydatacollectorsforCLASS,andmustbefullytrainedincorrectdatacollectionprocedures,andpossessathoroughunderstandingofthedatadefinitions.
58DSMServicestypedefinitionsareincludedintheGlossaryatthebeginningofthisGuide,andwithintheDSM,availableat:Attorney-General’sDepartment,NationalLegalAssistanceDataStandards<https://www.ag.gov.au/LegalSystem/Legalaidprogrammes/Pages/National-Legal-Assistance-Data-Standards.aspx>(accessed31January2017).
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8.7.12 StaffmustnotenterdataintoCLASSortheircentre’sowndatabasebeforeundergoingformaltrainingintherelevantdatasystem.Training,includingonlinetraining,foraccessanduseofCLASSisavailableforallCLASSusersfromNACLC,whichalsoprovidesaCLASSHelpdeskthatisgenerallyfreetousers.
Scopeofdatarecordingincentres’databases8.7.13 Therewasconsiderablediversityacrosscentresintheextenttowhichdetailed
ServicedatawasrecordedinCLSIS,andthiswillnodoubtbethecaseinCLASSorincentresthatusetheirowndatabases.Someenterminimumdatanecessarytofulfilfundingaccountabilityandconflictcheckingrequirements,keepingdetailedrecordsonhardcopyfiles,whileothersnowmaintaindetaileddigitalrecordsorevencompletefilesofclientServices.
8.7.14 Wherethereissubstantialdestructionofpaperfilesduetofire,flood,theftorothermajorevent,thecentre’sdatabasemaybetheonlyremainingsourceofclientdata.Ontheotherhand,electronicrecordscanalsobevulnerableandcentresmustverifyforthemselvesthatconfidentialinformationandothervaluableinformationandrecordsaresecureandprotected.CLASShasanumberofsecuritymeasurestoprotectcentresfromlossofdata(suchasdatabeingreplicatedontwoseparatelylocatedserversinAustralia).Centresusingotherdatabasesshouldensurethattheirrecordsarebackeduponaserverorhardcopyastheyseefit.CentresmaystillbewisetokeepallhardcopyrecordsoftheirclientsandServices.
Datasecurityandunauthorisedaccess8.7.15 Ofnecessity,CLASSandanycentre’sowndatabasecontainconfidential
informationaboutclients.Itistheresponsibilityofthecentretoprotectclientconfidentialitybyensuringthatunauthorisedaccesstoclientdatadoesnotoccur.Accessandusageprotocolsandsecurityinstructionsmustbefollowedmeticulouslyandconsistentlybyallcentrestaffandanyvolunteersauthorisedtoaccessthedatasysteminanypart.Asageneralrule,centresshouldonlygiveeach‘user’theaccesspermissionstheyrequiretoundertaketheirduties.
Anycentrethatusesadatabasethatislocatedontheirserverlocallyshouldensurethattheirdataisbackedupweekly.
8.8 Files8.8.1 CentresneedtoensurethatallServiceProviderscomplywithgoodlegalpractice
managementfilekeepingstandards.Inthisstandard,‘files’referstobothhardcopydocumentsandelectronicfilesorrecordsrelatingtoaclientService.
Filenumberandfilerecord thisisaMandatoryStandard.
8.8.2 TheOngoingAssistanceServicewillalreadyhavebeengivenafilenumber(see8.3Intakerecordsandproceduresabove).Thecentre’scentralfileregistersystemmustalsorecordthatafilehasbeenopenedasanOngoingAssistancefile(ofwhatevertypeofService)andwhen.
Letterofengagementorclient/litigationagreement8.8.3 WheneverOngoingAssistanceisundertakenandafileisopened,itismandatory
thattheclientisadvisedoftheServicesthatthecentrehasagreedtoprovideandthatashortdescriptionofthisisrecordedinthefile(and,sometimes,inthefileregister59).Itisrecommended,asgoodpractice,thata‘client/litigationagreement’
59LegalProfessionUniformGeneralRules2015(NSW;Vic)r93(2).
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ora‘letterofengagement’orwritten‘retainer’isprovidedtotheclient,ifappropriate.(SeedefinitioninGlossaryandseethesamplelettersofengagementatappendixJ).ThisisaMandatoryStandardincircumstanceswherethelegalprofessionlawsoftheparticularstateorterritoryrequireit.Insomecases,forexamplewhereworkisdonequicklytomeetadeadline,thismaynotbepractical.Inthosecasesitisdesirabletoprovidetheclientwithwrittenconfirmationoftheworkthatwasundertakenassoonasispossibleafterwards,ifthatispracticable.
8.8.4 Evenifitisnotpracticaltogetaclientagreementsigned,itisgoodpracticetoconfirmthefollowinginwritingtoyourclient:
• whatyourcentreisagreeingtodo
• whatyouarenotagreeingtodo
• whathappensiffurtherRepresentationorotherOngoingAssistanceisrequired.
Limitationdate thisisaMandatoryStandard.
8.8.5 Legalproblemstowhichalimitationdateordatesapplymusthavethedatemarkedprominentlyonornearthefrontofthefile.Ifnolimitationdateisapplicable,thismustbenotedprominentlyonthefileas‘N/A’.Similarly,ifthelimitationdatehasexpired,thismustbeprominentlyindicatedas‘expired’.Limitationdatesmustalsoberecordedandmonitoredinthecentre’sfilereviewsystem.Insituationswherethecentreisonlyactingfortheclientinoneofanumberofpossibleactions,itmustbenotedinthefilethattheclienthasbeenadvisedofthelimitationdatesforallpossiblecausesofaction,andwhattheywereadvisedinrelationtoeach.(Thisisusuallyontheinitialadvicesheetorbywayofaletterofadvice.Thelimitationdaterelevanttothecause/sofactionforwhichthecentrerepresentstheclientistheonlylimitationdatethatmustbenotedonthefileinthespaceforrecordinglimitationdate/s.)
Frontoffileinformation thisisaMandatoryStandard.
8.8.6 Thefollowinginformationmustberecordedprominentlyonoratthefront(forexample,insidethefrontcover)ofallRepresentationorotherOngoingAssistancefiles:
• fullname/s,addressandtelephonenumber/sofclient
• fullname/softheOtherPartyorParties
• indicationthataconflictofinterestcheckhasbeendone
• problemtype
• filenumber
• limitationdate(seeabove)
• othercriticaldates(ifany)
• actionandreviewdates
• nameofworkerresponsibleforfile.
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Centresshouldconsiderclientconfidentialitywhendeterminingwhatinformationwillappearontheoutsidecoverofafile.
8.8.7 ThefollowinginformationmustberecordedinthefilewhenanewRepresentationorotherOngoingAssistancefileisopened:
• outlineoftheclient’sproblem
• outlineoftheLegalAdviceorLegalTaskoranyotherServicegiven(ifany)
• datefileopened(thismayberecordedonthefrontofthefile)
• dateinstructionsfirstreceived
• dateLegalAdvicegivenand/orotherServiceprovided(ifany).
8.8.8 Legalprofessionlawsmayprescribeadditionalrequirements.Forexample,practitionersinNSWandVictoriaarerequired60torecord(inthefileregister,inrespectofeach‘matter’)ashortdescriptionoftheservicesthatthelegalpractitionerhasagreedtoprovide.TheResponsiblePersonshouldcheckwhetherthereareanysuchadditionalrequirementsintheirjurisdictionandwherethereare,ensurethatallServiceProvidersattheircentrecomplywiththem.
Filenotes thisisaMandatoryStandard.
8.8.9 Filenotesmustbemadeofalltelephoneorface-to-faceattendanceswiththeclientoranyotherpersonspokentoinrelationtotheclient’sproblem.Filenotesshouldalsobemadeoftextmessagessentorreceivedoranyotherelectroniccommunication.Thefilenotesmustbelegible,dated,indicatethecircumstancesinwhichthenotewasmade(forexample,face-to-face,ortelephone),notethenameofthepersonmakingthefilenote,besignedorinitialled(eitherbyhandorelectronically)bythepersonmakingthefilenote(includingfilenotesonelectronicfiles),andsecuredinthefileor,inthecaseofelectronicfiles,beincludedintheclient’sServicefileorfolder.
Incomingoroutgoingcalls thisisaMandatoryStandard.
8.8.10 Recordsmustbemadeofallincomingandoutgoingcallsmadeorreceivedinrelationtoeachclient’scase,bythepersonwhotakesormakesacallinrelationtoit.Itisgoodpractice(andcanberelevanttocostsrecovery,torecordwhethereachcallwasmadefromorreceivedbytheServiceProvider).Messagestakenfromcallers,aswithanyotherrecordofcommunicationaboutthematter,mustbesecuredappropriatelyinthefileorenteredintotheelectronicfile.
Correspondence,courtdocuments,evidenceanddisbursements thisisaMandatoryStandard.
8.8.11 Unlessthereisonlyanelectronicfile,copiesofallcorrespondence,includingemails,shouldbekeptonthehardcopyfile.Filesshouldbekeptinasensibleandlogicalorder,withcourtdocumentsandevidenceseparatedfromfilenotesandcorrespondence.Filenotesandcorrespondenceshouldbesecuredtothefileinchronologicalorder,usuallyandmostconvenientlyinreversechronologicalorder.
8.8.12 Electronicrecords,includingoriginalrecordsorcopiesofmaterialonthehardcopyfile,shouldbestoredinanelectronicfilededicatedtoandeasilyidentifiableas
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theparticularclientServicefileorfolder.Itisgoodpracticeforthatfoldertohavesub-foldersthatreflectthehardcopyfile,forexample,‘correspondence’and‘courtdocuments’.
8.8.13 Recordsofdisbursementsoranyotherfinancialinformationandrecordsshouldbekepttogetherandseparatefromotherdocumentsonthefile.
8.9 Clientinformationsecurity thisisaMandatoryStandard.
8.9.1 Centresmustprotectclientconfidentiality(see6.6)andclientlegalprivilege(see8.15)byensuringthatunauthorisedaccesstoclientinformationdoesnotoccur.Physicalfilesmustbekeptinasecurelocationandinsuchawayastopreventunauthorised(includinginadvertent)accessortheunauthorisedimpartingofclientinformation(thisincludesleavingafileinaplacewheretheclient’snamemaybeseenbyothers).Electronicfiles,recordsanddataconcerningclientsmustbekeptonasecurecomputernetworkthatisprotectedfromunauthorisedaccessfromoutsidethecentre.
8.9.2 Withinthecentre,strongpasswordsshouldberequiredtoaccessanycomputeronthecentre’snetworkandstrictpermissionsmanagementshouldoperate.Allcentredatathatiskeptlocallymustbebackedupatleastweekly.Mobiledevices(forexample,smartphones,laptops,notebooks)thatmaycontainconfidentialclientinformationshouldbestronglypasswordprotectedandalwayskeptinahighlysecureplaceandmanner.Portabledatastoragedevices(forexample,USBflashdrives)containingclientinformationneedtobetreatedlikefilescontainingconfidentialinformationandshouldbesecurelymanagedandstored.Remoteaccessshouldnotbeusedunlessitcanbedoneinasecuremanner.
8.10 Filemovements thisisaMandatoryStandard.
8.10.1 Whileitisgoodriskminimisationpracticetolimitfilemovementsbetweenthecentreandotherlocations,itissometimesnecessaryforfilestobetakenelsewhere,suchastocourt,counsel’schambers,prison,mediation,acentrebranchoffice,ortoaclientinterviewatanoutreachclinicortheclient’shome,ortravellingtoanyoftheselocations.Wherethisoccurs,thecentremusttakeallreasonablestepstomaintainthesecurityofthefile/s,tominimisetheriskofafilebeingdamagedorlostandtoprotectclientconfidentiality.
8.10.2 Eachcentremusthave,maintainanduseacentralfileregisterinsomeform(see8.3.11).Itisstronglyrecommendedasgoodpracticethatanyfilemovements,thatisanymovementfromitsprimaryplace,berecorded.Ideallytheregistershouldrecordthecurrentlocationofthefile,thedateandthenameofthepersonwhohasthefile.
8.10.3 Othergoodpracticerulestoreducetheriskofthefilegettinglostordamaged,orfallingintothehandsofathirdparty,includethat:
• thefileshouldneverleavetheofficeunlessitisnecessary
• thecurrentlocationofeveryfile,thenameofanypersonwhoremovesthefile,dateofremovalandpurpose/destinationisrecordedinafilemovementregisterorsomeotherwrittenrecordavailableatthecentre
• thefileshouldnotbeleftinacarifatallpossiblebutifitis,itmustbelockedawayandoutofsight
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• ifafileistakenoutsidealleffortshouldbemadetoconcealthenameandidentifyingdetailsoftheclientandideallythefileshouldbeconveyedinabriefcaseorbag
• thefilemustnotbeleftunattendedinapublicorapubliclyaccessibleplace.
8.10.4 Aclient’s‘file’includesallclientinformationincludingemailsandelectronicrecords.Similarcommon-sensegood-practicerulesshouldbeappliedtoclientinformationinthisform,forexample:
• clientdatashouldnotbetakenoutoftheofficeonmemorysticksorCDsetcunlessitisabsolutelynecessaryandisstronglypasswordprotectedorencrypted
• clientdatastoredonalaptopormobilephoneorotherdevicetakenoutsidethecentreshouldalsobestronglypasswordorotherwisesecurityprotected.
8.11 Clientrecords Clientrecordscanincludeawiderangeofforms:
• clientintakesheets
• diaries,bookingsheets
• journalsandcommunicationbooks
• notes,whetherhandwrittenortyped
• correspondence
• emailsandtheirattachments
• copiesororiginalsofdocumentsabouttheclientortheirlegalandrelatedproblem/sincludingmedicalrecordsandexpertopinions
• recordsofService/sprovidedtotheclient
• databaserecords
• audio,dictationandvideotapes
• digitalfiles
• photographs,scans,images.
8.12 Fileownership8.12.1 Generally,aclient’slegalfileisownedinpartbytheclient(forexample,original
clientdocuments)andinpartbythecentre(forexample,filenotes).Centresneedtobefamiliarwiththeprinciplesconcerningownershipoflegalandotherfiles,aswellasconsideranyimplicationsoftherelevantprivacylawsinrelationtoclients’entitlementstoaccessinformationheldaboutthem:see8.19.
8.12.2 Centrestaffandvolunteersdonotownclientfilesandmustnottreatthemastheirproperty.Whentheemploymentorvolunteerrelationshipends,thefilesandrecordsremainwiththecentre.
8.12.3 Insomeserviceagreements,fundingbodiesclaimownershipoffiles,partsofthem,orofsomeinformationorrecords.Centresshouldconsideranysuchclausescarefullybeforeagreeingtoanyserviceagreementandensurethattheyareonlyagreeingtotermswithwhichtheycanandwillcomply.
8.12.4 Theclaimingofownershipof,orevenarightofaccessto,clientlegalfilesbyafundingbodyisparticularlycontentiousbecausethecentreisobligedtoprotect
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itsclients’legalprivilege.Ifafundingbody,oranyotherthirdpartyseeksaccesstothefile,thecentreisobligedtoclaimprivilege(ontheirclient’sbehalf)anddenythatpartyaccesstoprivilegedpartsofthefileunlessanduntiltheyhavetheexpressconsentoftheclienttoreleasethosepartstothatpersonorbody.
8.12.5 Thisprivilegemayapplytofilescontaininganyclientinformation.Itrefersnotjusttohardcopybutalsotoelectroniccommunications.
8.12.6 Itisveryimportantthateachcentreunderstandthelegalsituationinrelationtoallthefilesandclientrecordsandinformationthattheircentrepossessesandconsiderif,whenandhowtheyexplainthatsituationtoclientsandhowtoprotectclientprivilegewhererelevant,aswellasensurethattheirlawyersmeettheirdutytoprotectclientconfidentiality–thetwooverlap,butaredifferent.
8.13 Closingfilespreparationforclosure
thisisaMandatoryStandard.
8.13.1 Beforeafileisclosed,itmustbereviewedbyaResponsiblePersonorNominatedPersontoensurethatthefollowingrequirementshavebeencompliedwith:
• theclientisadvisedinwriting:
- thatthefileisabouttobeclosed
- thatthefilewillbedestroyedaftersevenyears(orotherdateasapplicable)(seebelow)
- ofrelevantlimitationdates(ifany).
• thefollowingadministrativeprocesshasbeencompleted:
- anyoriginaldocumentsprovidedbyorobtainedonbehalfoftheclienthavebeenreturnedtotheclient
- allbillshavebeenpaid,truststatementssentandunusedtrustmoniesreturnedandaccountedfor,anytransitmoneyhasbeenpassedontotheappropriateperson/body
- thedatethefileisclosedisrecordedon,ataminimum,thecentralfileregisterandthefileitself.
Closure thisisaMandatoryStandard.
8.13.2 Thefilemustbeclosedonthecentre’sfileregister.
8.13.3 Theremusteitherbearecordonthefilethattheabovethingshavebeendone(forexamplebywayofachecklist)oranexplanationastowhytheyhavenotbeendone.
8.14 archivinganddestruction thisisaMandatoryStandard.
8.14.1 Allfilesmustbekeptforaminimumofsevenyearsfromthedatethatthefileisclosed.InrelationtoparticularclientsandparticulartypesoflegalissuesalongerperiodmayberequiredbylawandtheResponsiblePersonmustascertaintherequirements(ifany)thatapplyintheirjurisdictiontotheparticulartypeoflegalissueandensurethoserequirementsarecompliedwith.Forexample,inrespectofaclientunderalegaldisability(suchasbeingunder18orsomepeoplewithanintellectualdisabilityormentalillness)itmaybenecessaryinaparticular
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jurisdiction,oratleastprudent,toretainthefilebeyondtheseven-yearperiod.See8.14.7Destroyingfilesbelow.
archivingfilesphysically8.14.2 AfterfilesareclosedonCLASSoranyotherdatabasethefilecanbephysically
archived.Archivalarrangementsdifferfromcentretocentrebutshouldatleastmeetthefollowingcriteria:
• filesmustbestoredinasecureenvironmentawayfrompublicandunauthorisedaccess,eveninadvertentaccess
• filesshouldbearchivedinsuchawayastoallownecessaryaccesstocheckpotentialconflictsofinterestand/ortakecopiesoforreturnclientdocumentswheresucharequestismade.Somecentresarchivefilesbytheyeartheywereclosedandinalphabeticorder(clientfamilyname)foreachyear.OthercentresarchivebyCLSIS/CLASSfilenumberorcentrefileregisternumber
• wherethefileisnottobedestroyedthismustbeclearlymarkedonthefile–adestructiondateshouldbemarkedonfilesaspartoftheclosureandarchivalprocess
• howlongfilesarekeptwillvarydependingonjurisdictionalrequirementsinrelationtoparticulartypesoflegalproblemsandeachcentreshouldinvestigatethisissueincludingtherangeoflawsthatapplytoarchivinganddestructionofclientfiles,bothlegalandnonlegal
• serviceagreementsandfundingarrangementsmaycreateadditionalarchivalordestructioncriteriaandtheseshouldbeconsidered,asrelevant,byeachcentre.
archivingfileselectronically8.14.3 Ifacentreintendstoelectronicallyarchiveclientdataitshouldseekadviceabout
theapplicationofanystateorterritoryprivacy,informationorarchiveslawsthataffectarchivingofelectronicrecordsanddevelopapolicythatdealswithsecurityandintegrityofthedata.Ifacentreintendstoarchivefileselectronically(forexample,viaanonlinedocumentmanagementsystem,orscanningphysicalfilestomakeanelectronicrecordforstoragepurposes)theclient’sconsentwillberequiredbeforedestroyingdocumentstowhichtheclientisentitled(see8.14.7-10).Asystemofelectronicstoragethatsatisfiesthekeyrequirementsofreliability,integrityandaccessibilityassetoutinrelevantlegislationcanbeimplemented61.Adocumentthatrecordstheelectronicstorageprocessandpoliciesshouldalsobeprepared.62
8.14.4 Somedocumentsmustbestoredintheiroriginalhardcopyformandinasafeandeasilyaccessiblelocation,forexample:63
• titledeedsandanydocumentsrecordingdealingswithland
• wills
• originalexecutedagreements
• powersofattorneysorothersimilarauthorisations;and
• anyotherdocumentsorthingsheldbythecentreforsafekeeping.
61Forexample,inWA:ElectronicTransactionsAct2011(WA)s12. 62See:ASISO15489AustralianStandardonRecordsManagement. 63Forexample,inWA:LegalProfessionConductRules2010r28(4).
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8.14.5 Clientfilesthatareinelectronicformmustberetainedforthesameperiodoftimeasforaphysicalfile.Acentrewillneedtheclient’sconsenttodestroydocumentstowhichtheclientisentitledeveniftheyareinelectronicform(see8.14.7).
CLSISandCLaSSrecords8.14.6 CLSISrecordswererequiredtobekeptindefinitelyinorderforthemtobe
availabletobeassessedforpotentialconflictsofinterest.CLSISrecordscouldnoteverbe‘archived’inthesenseofbeingdeletedfromtheCLSISdatabaseasthisdeletedthemfromtheNationalProcessingCentre(NPC)database.TheAttorney-General’sDepartmentrequiredaccesstoallNPCrecordsforlongtermstatisticalreportingandanalysis.
Allcentres’datathatwasinCLSISisbeingmigratedintoCLASS.TheclientdatathatwasinCLSISwillthereforebeavailableinCLASSforongoingconflictchecking.CLASSrecordsmustalsoberetainedindefinitely.
Destroyingfiles8.14.7 Afile(physicalorelectronic)usuallycomprisesarangeofthingsincluding
correspondence,filenotesandreports(see8.11).Someoftherecordsinafilemaybetheclient’sdocumentsordocumentstowhichtheclientisentitled.64Clientconsentmustbeobtainedtodestroydocumentstowhichtheclientisentitled.Centresmustcomplywithrelevantlegalprofessionrulesintheirjurisdiction.Informedconsentshouldideallybeobtainedattheoutsetofthematterandinwriting.Thiscouldbedoneinaletterofengagement/clientagreementoraclientauthority,forexample:
Onceyourfilehasbeenclosed[Centre]isrequiredtokeepitforaperiodof7yearsafterwhichtimeyourfilewillbedestroyed.Pleasesignbelowtoindicateyourconsenttothisprocess.
SeealsothesamplelettersofengagementatappendixJ.
8.14.8 Itisrecommendedasgoodpracticethatcentresmakeandmaintainarecordofthename,filenumberanddestructiondateofeachfiledestroyed.
8.14.9 AusefulsampleFileDestructionChecklistisatappendixItothisGuide.ThischecklistwasdraftedbyandforQueenslandCLCs.Centresinotherstatesorterritoriesshouldensurethattheirspecificjurisdiction’srequirementsaremet,andamendthislistasappropriatebeforeusing.
8.14.10 Specialconsiderationsapplytothedestructionoffilescontaininginstructionsforwillsandpowersofattorney(POA),draftwillsandPOAandassociateddocumentation.Thisisbecauseproblems(forexample,questionsofcapacity,lostwills,negligence)donotcrystalliseuntilthetestator’sdeathorthePOAisexercised,whichmaybemanyyearsafterthedocumentisexecuted.ItisstronglyrecommendedasgoodpracticethatfilescontaininginstructionsforwillsandPOAanddraftwillsandPOAnotbedestroyedforatleast6yearsafteracauseofactionmightaccrue.Forexample,acauseofactionmightnotaccruetoanamedbeneficiaryuntilthetestatorhasdiedandtheexecutorhasassumedoffice.Ifthecentreretainstheoriginalwillitmustnotbekeptonthefile,ratheritmustbekeptinasecureplacewithaWills/SafeCustodyRegister(howeverdescribed)thatcomplieswithapplicablelegalprofessionlegislation.
64Centreswillneedtoconsideranyimplicationsoftherelevantprivacylawsinrelationtoclients’entitlementstoinformationheldaboutthem:see8.19.
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8.15 Clientlegalprivilege thisisaMandatoryStandard.
8.15.1 Clientlegalprivilegecanbedefinedas:
therightofapersontohavewithheldfromevidencecommunicationsbetweenthatpersonandhis/heradviser(orbetweenthelegaladviserandathirdparty),madeinthecourse…ofobtaininglegaladviceorwithreferencetolitigation.65
Thosecommunicationscanbeinhardcopy,electronicorotherforms.
8.15.2 Whenconsideringthetopicofprivilege,thecentreshouldensurethatithaspoliciesandprocedurestoidentifyandprotectprivilege.Staffandvolunteersshouldbetrainedinthisarea.
8.15.3 Whileotherprofessionssuchasaccountantsandsocialworkersmayalsobegovernedbyprofessionalcodesthatrequirethoseprofessionalstotreatclientinformationasconfidential,onlyclientlegalprivilegeis‘absolute’asopposedto‘qualified’innature.
8.16 thirdpartyaccesstoclientinformation8.16.1 Therearesomesituationswhereacentreisobligedtogiveaccesstoclient
information/recordstoathirdparty,forexample,pursuanttodiscoveryordersorsubpoenasorobligationsunderlegislationtoreportcertaintypesofoffences.Acentrecanalsoobtainaclient’sconsenttobeabletodiscloseinformation/recordstoathirdparty.
8.16.2 Eachcourthasitsownrulesthatsetoutthewayinwhichinformationrelevanttoacourtcasecanbeobtainedfromthepartiestothedisputeandfromthirdparties,ornon-partiesastheyareoftenknown.IfacentrereceivesarequestofthisnatureitshouldseeklegaladviceandalsoassistancefromthePIIrepresentative.Thecentreshouldalsoadvisetheclientoftherequest,unlesstheyarelegallyobligednotto.
thirdpartyornon-partydisclosure8.16.3 Thirdpartyornon-partydisclosureoccurswhereapartyinlegalproceedings
seeksdocumentsorrecordsheldbyathirdparty.66Thisisinadditiontothepowertoissueasubpoenaagainstdocumentsheldbyathirdparty.Non-partydisclosurecanberequiredwhen:
• thedocumentsoughtisdirectlyrelevanttoanallegationatissueinthepleadings
• thedocumentsoughtisinthepossessionorunderthecontroloftherespondent(thatis,therecipientofthenoticetodisclose),and
• thedocumentisonethatcouldberequiredtobeproducedattrial.
8.16.4 Whereanoticeofnon-partydisclosureisreceivedbyaclientorbythecentreitself,thecentreshouldcheckthatthenoticestatestheallegationaboutwhichthedocumentisdirectlyrelevant,andcertifiesthatthereisnootherwaytoobtainthedocuments.
65CCHMacquarieConciseDictionaryofModernLaw(CCHAustraliaLimitedNorthRyde1988)page77.Seealsothedefinitionof‘legalprofessionalprivilege’inLexisNexis,EncyclopaedicAustralianLegalDictionary,whichincludescasereferences.
66InQld:UniformCivilProcedureRules1999,s242.
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8.16.5 Thenon-partycanobjecttodisclosureonanumberofgrounds,suchas:
• theexpenseorinconvenienceofproduction
• theirrelevanceofthedocument
• lackofparticularity
• confidentiality
• effectsofdisclosureonanyperson
• failuretoeffectproperservice.
8.16.6 IntheeventthatthecentrereceivesarequestofthisnatureitshouldseeklegaladviceandshouldseekassistancefromthePIIrepresentative.
Subpoenas8.16.7 Asubpoenatoproducedocumentsdiffersfromanoticefornon-partydisclosure.
Asubpoenaisalegaldocumentissuedbythecourttoproducedocuments,giveevidence,orboth.67Asubpoenarequiresattendancebeforethecourtandcanberequestedbyeitherpartyorissuedbythecourtofitsownaccord.Likedisclosure,anargumentcanbeputtothecourtthatthesubpoenashouldbesetasideforreasonssuchas:
• therequestisirrelevant
• theinformationordocumentsareprivileged
• respondingwouldbeoppressive,includinginvolvingsubstantialexpense
• failuretocomplywiththerules(forexample,notaccompaniedby‘conductmoney’ornotproperlyserved).
8.16.8 Itisimportanttoseekadviceandpreparearesponseassoonasasubpoenaisreceivedandnotleaveittothelastminute,orfailtoattendcourttorespond,evenifthecentre’sargumentisthatitdidnothavetocomply.
8.16.9 Failuretocomplywithasubpoenaiscontemptofcourt.
8.17 Coercivepowers8.17.1 Therearesomestatutoryexamplesofcoercivepowerswhereapersoncanbe
compelledtoprovideinformationevenwherethe:
• informationisprivileged
• informationisconfidential
• persongivingtheinformationmayincriminatethemselves
• persongivingtheinformationmayincriminateanotherperson.
Commissionsofinquiryandstatutoryagencies,forexample,oftenhaveinformationgatheringpowersthatareverybroadranging.
8.17.2 Itisimportantinthesecasesto:
• checktherelevantlegislationanditsrequirementsandprotectionsifany
• checkanypenaltiesfornon-compliance
67Cth:FederalCourtRules2011,r24.12;ACT:CourtProceduresRules2006,reg6601;NSW:UniformCivilProcedureRules2005,reg33.2;NT:SupremeCourtRules,reg42.02;Qld:UniformCivilProcedureRules1999,s414;SA:SupremeCourtCivilRules2006,r172;Tas:SupremeCourtRules2000,reg495;Vic:SupremeCourt(GeneralCivilProcedure)Rules2015,reg42.02;WA:RulesoftheSupremeCourt1971,O36Br2.
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• seeklegaladviceifnecessaryandinformthePIIrepresentative,and
• informandconsultoradviseanyclientwhoseinformationisinvolved.
8.18 Freedomofinformation FreedomofInformation(FOI)andRighttoInformation(RTI)lawsprovidethe
publicwitharighttoaccessdocumentsheldbygovernmentdepartments,agenciesandministers.FOIlawsdonotapplytotheprivateorNGOsector,althoughtherearesomegovernment-ownedcorporationsthataresubjecttoFOIlaws.ThereareFOIlawsatFederal,StateandTerritorylevel.68FewcommunityorganisationssuchascentreswillbesubjecttoFOIorRTIlaws.IntheeventthattheCLCreceivesarequestofthisnatureitshouldseekassistancefromthePIIrepresentative.
8.19 privacylaws8.19.1 PrivacylawsexistataFederal,StateandTerritorylevel.69Eachcentreneeds
todeterminewhichlawsapplyandwhatstepsneedtobetakentoensurecompliancewiththerelevantlaw(s).Centresmayalsoberequiredtocomplywithprivacyobligationsunderoneormorefundingagreements.70
8.19.2 Itisrecommendedthatcentresdevelopaprivacypolicy.Asampleprivacypolicyisincludedatappendixh.Centresmayalsowishtodevelopseparateand/oradditionalprivacyprocedures.
8.19.3 Intheeventthatthecentrereceivesarequestwherecompliancewiththerequestmaybreachprivacyobligations,itshouldseekassistancefromarelevantlyexperiencedlegaladviserandthePIIrepresentative.
8.20 Libraryandarchiveslaws Libraryandarchiveslawsexistatastateandfederallevel.Libraryandarchives
lawsregulatethestorageofofficialandpublicrecordsandallowforpublicaccesstothoserecordsunderspecificaccesscriteria.Generally,itissafetoassumethattheselawswillnotapplytorecordskeptbyCLCs.IntheeventthataCLCreceivesarequestofthisnatureitshouldseekassistancefromthePIIrepresentative.
68Cth:FreedomofInformationAct1982;ACT:FreedomofInformationAct2016(whichcommenceson1July2017);NSW:GovernmentInformation(PublicAccess)Act2009;NT:InformationAct;Qld:RighttoInformationAct2009;SA:FreedomofInformationAct1991;Tas:RighttoInformationAct2009;Vic:FreedomofInformationAct1982;WA:FreedomofInformationAct1992.
69Forexample:PrivacyAct1988(Cth);intheACT:InformationPrivacyAct2014,HealthRecords(PrivacyandAccess)Act1997,FreedomofInformationAct2016(whichcommenceson1July2017),TerritoryRecordsAct2002(publicrecords),HumanRightsAct2004(righttoprivacy);intheNT:InformationAct2002(privacy,FOIandpublicrecords);inNSW:PrivacyandPersonalInformationProtectionAct1998,HealthRecordsandInformationPrivacyAct2002,GovernmentInformation(PublicAccess)Act2009,StateRecordsAct1998;inQLD:InformationPrivacyAct2009,RighttoInformationAct2009,PublicRecordsAct2002;inSA:StateRecordsAct1997;inTAS:PersonalInformationProtectionAct2004,RighttoInformationAct2009;inVic:InformationPrivacyAct2000,HealthRecordsAct2001,PrivacyandDataProtectionAct2014CharterofHumanRightsandResponsibilitiesAct2006,FreedomofInformationAct1982,PublicRecordsAct1973;inWA:FreedomofInformationAct1992,StateRecordsAct2000
70Forexample,CentresfundedandreportingundertheNationalPartnershipAgreementonLegalAssistanceServices(NPA)mustcomplywithCommonwealth’sNationalLegalAssistanceDataStandardsManualandNPAdatareportingrequirements.Principle5oftheManualrequiresdatatobe‘collected,storedanddisseminatedinaccordancewithAustralianPrivacyPrinciplesortheequivalentstateorterritoryprivacylaw,aswellastherelevantlegislativeandprofessionalrequirements’.Inaddition,thestandardtermsunderfundingagreementsundertheNationalPartnershiponLegalAssistanceinsomejurisdictionsincludeprivacyobligationsandrequirements.
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CHAPTER 9
Cross-checkingproceduresInthischapter:9.1 Introduction 127
9.2 participationinannualcross-checkandsatisfactorycompliancewith 127MandatoryStandardsoftheGuide
9.2.4Branchoffices,cross-borderservices,andserviceswithmorethanone 128ResponsiblePerson
9.3 Confidentiality 129
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9.1 Introduction9.1.1 Cross-checkingiscriticaltoimplementingtheNationalPIIScheme:itensures
anddemonstratesthatacentreiscomplyingwiththeMandatoryStandardsoftheGuide.Participationincross-checkingisrequiredbyStandardA1.5oftheStandardssetoutintheNASGuidelines.DemonstratingsatisfactorycompliancewiththisGuide’sMandatoryStandardsisessentialforacentretoparticipateinandhavecoverundertheNationalPIIScheme,tosatisfactorilymeettheNACLCAccreditationCriteriaandtocomplywiththecriteriatobeafullmemberofastateorterritoryassociationforCLCs.
9.1.2 Cross-checkingisalsoanintegralfunctionoftheroleofthePIIcommitteesandPIIrepresentativesformonitoringriskmanagementwithincentres,andforhelpingindividualcentresmeasuretheirperformanceonkeyissuesfromyeartoyear.Itisamethodofprofessionalpeerreviewthatfacilitatesgoodpracticeandencouragesprincipalsolicitorstoreflectonthepracticesystemsintheircentresandwaysinwhichtheycanbeimproved.ItprovidesanopportunityforPIIrepresentativestoworkwithcentrestoidentifyandattempttoresolvelocalorsystemicissuesthatcometolightduringthecross-checks.Wherethoseissuesarenotresolvedtheyaretakentothestateorterritoryassociationand/ortheNationalPIINetworkfordiscussionandresolution.
9.2 participationinannualcross-checkandsatisfactorycompliancewithMandatoryStandardsoftheGuide
thisisaMandatoryStandard.
9.2.1 EachcentrethatisorwishestobeafullmemberofastateorterritoryassociationofCLCsmustparticipateintheannualcross-check,andmustdemonstratesatisfactorycompliancewiththeMandatoryStandardsoftheGuide.
9.2.2 Anannualcross-checkofallcentresthatarefullmembersofastateorterritoryCLCassociationiscoordinatedbyeachstateorterritoryPIIcommittee(orsimilarcommittee),oftensupportedbythestateorterritoryassociation,tomonitoreachparticipatingcentre’scompliancewiththeMandatoryStandardsinthisGuide.Allservices,programsandprojectsofeachcentreareincludedinthecross-check.Thecross-checkinvolvesavisittothecentre,andiscarriedoutusingtheCross-checkQuestionnaire(seeappendixD),whichiscompletedbyoneortwocross-checkersfromanothercentre/s,thecentre’sResponsiblePerson,allNominatedPersonsandavolunteerfromthecentre.Cross-checkerswillusuallybetheResponsiblePersonintheircentre(unlessotherwiseagreedbythePIIRepresentative).71
9.2.3 Allcentres72arecross-checkedinthismanner,andthecompletedquestionnaires,whichincluderesponsesbytheResponsiblePersontoanyissuesarisingduringthecourseofthecross-check,areassessedbythePIIrepresentative/s.ThePIIrepresentativemayalsoprovideageneralreporttothePIIcommitteeadvisingofthemostcommonoranysystemicfaultsorissuesdetectedbythecross-checks.Thecross-checkisdesignedtocheckindividualcentresystemsandprocedurestoensurethattheMandatoryStandardsofthisGuidearemet.Across-checkisnotasubstantivecheckoftheaccuracyorqualityoftheLegalAdviceorotherDiscreteAssistanceorOngoingServicethatisgiven.TheResponsiblePersonineachcentre
71Inexceptionalcircumstances,andonlywithpriorapprovalofthestateorterritoryPIIRepresentative,theResponsiblePersonmaydelegatethecross-checkingroletoanotherseniorlawyerwithintheircentre.PriorapprovalisstillrequiredevenwheretheproposeddelegateisaNominatedPerson.
72UndertheNAS,allfullmembercentresarerequiredtobecross-checkedeveniftheyarenotpartoftheNationalPIIScheme.
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isresponsibleforthesubstantivelegalcorrectnessofallLegalAdviceandotherServicestoIndividualsandrelevantServicesfortheCommunity(suchasCLE),andisresponsibleforimplementingsystemsandproceduresbywhichthatcontentqualitycanbechecked.Thecross-checkdoesverifythattheResponsiblePersonhasputinplacethoseandotherriskmanagementprocedures.
Branchoffices,cross-borderservices,andserviceswithmorethanoneresponsibleperson
9.2.4 WherecentreshaveofficesorotherwisedeliverServicesinmorethanonestateorterritory,73and/orwithmorethanoneResponsiblePerson,therewillbedifferentrequirementsforthecross-checkprocedures,dependingonhowthecentreoperates:
Acentrethatoperatesasmorethanonedistinctlegalpracticeundertheonelegalentity(whetheroverseenbyoneormorethanoneResponsiblePerson)isrequiredtoundergoaseparatefullcross-checkoneachdistinctlegalpractice.Eachcross-checkshouldbesignedbytheResponsiblePersonfortherespectivelegalpractice.
Acentrethatoperatesasonelegalpracticeencompassingseparateprojects,programsorservicesorbranchoffices,isrequiredtoundergoafullCross-checkQuestionnaireinrelationtothe‘headoffice’(injurisdictionA),andadditional‘branchofficechecks’ontheotheroffices/projects/servicesinjurisdictionBaspertheusualrequirementsofthisGuideforbranchofficechecks,andusingPartDofthequestionnaire(seeappendixD).The‘branchofficechecks’aretobecompletedagainsttheheadoffice’sfullcross-checkquestionnaire.IfthereismorethanoneResponsiblePerson(forexample,oneforeachbranchofficeorservice),thenallResponsiblePersonswillneedtojointlysignthesamecross-checkquestionnaire.
9.2.5 AcentrethatisamemberofmorethanonestateorterritoryCLCAssociation,regardlessofwhichprocedurein9.2.4applies,isrequiredtocomplywiththemembershiprulesforeachofthosestateorterritoryassociations,including:
1) AttendingthecompulsoryPIIcommitteemeetingsofeachofthestatesorterritoriesinwhichthecentreisamember;and
2) Participatinginthecross-checkprocessesofeachstateorterritoryinwhichthecentreisamemberifandasrequiredbytherespectiveassociation,by:
a) havingtherelevantcross-checkquestionnairesand/orbranchofficechecksundertakenbyacross-checkerfromthestateorterritoryinwhichthelegalpracticehasanofficeorbranchoffice;74and
b) undertakingacross-checkofanothercentreineachstateorterritoryinwhichtheyhaveanoffice.
9.2.6 Whereabranchofficecheckistobecarriedoutbyadifferentcross-checkerthanthepersonwhocarriedoutthefullheadofficecross-check(forexample,inthe
73Thisdoesnotrefertocentresthatareprimarilybasedinonestate,butthatundertakeoutreachservicesinanotherstateorterritory,orwhichprovideassistancetoclientsfromanotherstateorterritoryandwherenocentrefilesorrecordsarestoredintheotherstateorterritory,providedthattherelevantstatesand/orterritorieshaveidenticalorsubstantiallysimilarprofessionalconductrules.Inpracticessuchasthesebutwheretherelevantstatesand/orterritoriesdohavesubstantiallydifferentlegalprofessionalconductrules,thecentreshoulddiscussthecross-checkrequirementsthatwillapplywiththeirstateorterritoryPIIRepresentative/s.
74ThisisrequiredinordertosatisfytheprovisionofthecommonmembershiprulesofallCLCstateandterritoryassociationsthatrequiretheConvenorsofthestateandterritoryAssociations’PracticeandInsuranceCommitteesofwhichtheyareamembertobesatisfiedthatthemembercentrehasthenecessarysystemstocomplywiththisGuide(see1.4.4).
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caseofcentresthathaveofficesinmorethanonestateorterritory),bothcross-checkerswillneedtodiscussthefullcross-checkquestionnairepriortothebranchofficecheckbeingcarriedout,inordertoensureconsistency.
9.3 Confidentiality thisisaMandatoryStandard.
9.3.1 Cross-checkerssignanundertakingontheCross-checkQuestionnairethatanyclientandcentreinformationobtainedduringthecross-checkprocesswillbekeptconfidentialaspartofthePIIprocess.
9.3.2 PIIrepresentativesmustgenerallytreatinformationacquiredduringthecross-checkprocessasconfidentialandnotdiscloseinformationthatisspecifictoaparticularcentreexceptonaneed-to-knowbasiswithinandforthepurposeoftheadministrationoftheScheme(seeChapter3).Wherethereisseriousandongoingnon-compliancewithoneormoreMandatoryStandardsintheGuide,thePIIrepresentativeand/orcommitteemayhavetoraisethematteronaneed-to-knowbasiswiththestateorterritoryassociation,theNationalPIINetworkand/orNACLC.
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CHAPTER 10
OtherInsuranceInthischapter:10.1 Introduction 131
10.2 publicliabilityinsurance 131
10.3 associationliabilityanddirectors’andofficers’insurance 131
10.4 Workerscompensation 131
10.5 Volunteerspersonalaccidentinsurance 131
10.6 Contentsinsuranceorofficepackinsurance 131
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10.1 Introduction Insuranceisakeyriskmanagementtool.Thereareanumberofotherinsurances
thatCLCsshouldormaywishtoobtain.
10.2 publicliabilityinsurance Publicliabilityinsuranceistheinsuranceprotectionaffordedtothepublicforloss
arisingfrominjuryorpropertydamagearisinginconnectionwiththecentre’soperations(forexample,whilevisitingthecentre,beingvisitedbyarepresentativeofthecentre,orataneventorganisedbythecentre).AllcentresthatarefullmembersofastateorterritoryCLCassociationareentitledtobecoveredbyabulkpublicliabilityinsuranceschemethathasbeenforanumberofyearsandisstillpresentlyprovidedbyNACLCatnocosttothecentre.
10.3 associationliabilityanddirectors’andofficers’insurance Directorsandofficers(‘D&O’)insuranceisdesignedtoprotectthepersonal
assetsofdirectorsandofficersfrompotentiallyunlimitedfinancialliabilityforlitigationifitisfoundthatthedirectorsorofficerswerepersonallyliableforwrongfulacts,errorsoromissionsintheperformanceoftheirmanagementduties.NACLCnegotiatesnationallyandoffersmembercentresanAssociationLiabilityInsurancepolicythatiscustomisedtosuitCLCs.Itprovidesarangeofinsurancecoverincludingformanagementliability(whichincludesD&Ocoveraswellascoverforoutsideentitydirectorsandforinternalmanagers),associationliability,employmentpracticesliability(forexample,forwrongfuldismissalordiscriminationclaims),fidelityloss,andothers.ThisinsuranceisavailableonapplicationthroughaNACLCmasterpolicyscheme.
10.4 Workerscompensationinsurance Workerscompensationinsuranceprotectsallworkerandemployeeentitlements
andcostsincurredwhenaworkerisinjured–mentally,emotionallyorphysically.ThiscompulsoryinsuranceisnotcurrentlyavailableaspartofaNACLCmasterpolicyschemeandshouldbeobtainedfromanappropriateinsurerinthecentre’sstateorterritory.Acentrethathasanemployeeoremployeesinanotherstateorterritory,willhavetotakeoutinsuranceforthatworkerinthatstateorterritory.
10.5 Volunteerspersonalaccidentinsurance Thisinsuranceprovidesno-faultcompensationtovolunteersforlossofincomeor
medicalexpensesflowingfromanaccidentwhileperformingvolunteerwork(forexample,atthecentre).ThisinsuranceisnotcurrentlyavailableunderanyNACLCmasterpolicyscheme.
10.6 Contentsinsuranceorofficepackinsurance Contentsinsurancecoversthebuildingorofficesinwhichthecentreishoused.
OfficePackInsurancecancoverpropertydamage,businessinterruptionlosses,theftandmoney,andglassbreakage,amongotherthings.ThisinsuranceisnotcurrentlyavailableaspartofaNACLCmasterpolicyscheme.
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